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Showing 2251 to 2260 of 2368 search results for This Final Notice refers to a failure.

  1. Barclays fined £783,800 and agrees to make a voluntary payment to Premier FX customers

    Press Releases Published: 28/02/2022 Last modified: 28/02/2022
    Barclays failed to make enquiries to ensure that Premier FX’s actual business activity aligned with Barclays’ expectations and did not identify that Premier FX’s internal controls were deficient.

  2. FCA fines Sesame Ltd for ‘pay-to-play’ arrangements

    Press Releases Published: 30/10/2014 Last modified: 30/10/2014
    In the Final Notice, the FCA finds that Sesame fell short of Principle 8 by failing to properly manage conflicts of interest. ... Previous final notices for Sesame:. Final guidance: Supervising retail investment advice: inducements and conflicts of

  3. FCA fines HSBC £6.2 million over treatment of customers in financial difficulty

    Press Releases Published: 23/05/2024 Last modified: 31/05/2024
    We have fined HSBC UK Bank plc for failures in its treatment of customers who were in arrears or experiencing financial difficulty. 

  4. Deutsche Bank fined £4.7m for failing to properly report transactions

    Press Releases Published: 28/08/2014 Last modified: 28/08/2014
    There is simply no excuse for Deutsche's failure to get this right. ... The final notice for Deutsche Bank AG.

  5. FCA censures Premier FX for payment rule breaches

    Press Releases Published: 25/02/2021 Last modified: 26/02/2021
    The FCA has publicly censured Premier FX Limited for failing to safeguard its customers’ money and for misuse of its payment accounts under the Payments Services Regulations.

  6. FCA sets expectations ahead of incoming crypto marketing rules

    Press Releases Published: 07/09/2023 Last modified: 07/09/2023
    Tough new rules designed to make the marketing of cryptoasset products clearer and more accurate, and that ban incentives like ‘refer a friend’ bonuses, will come into force on 8 October.

  7. FCA fines Barclays £26 million over treatment of customers in financial difficulty

    Press Releases Published: 15/12/2020 Last modified: 15/12/2020
    The Financial Conduct Authority (FCA) has fined Barclays Bank UK PLC, Barclays Bank PLC and Clydesdale Financial Services Limited (Barclays) £26 million for failures in relation to their treatment of consumer credit customers who fell into arrears

  8. FCA bans and fines two individuals for pension advice failings

    Press Releases Published: 20/03/2015 Last modified: 24/03/2020
    Lloyd Pope and Peter Legerton, former directors of advisory firm TailorMade Independent Ltd (TMI) (firm now dissolved), have been banned from senior positions in financial services by the Financial Conduct Authority (FCA).

  9. Partly contested cases, the pipeline and AML investigations

    Speeches Published: 04/04/2019 Last modified: 04/04/2019
    FCA Director of Enforcement and Market Oversight, Mark Steward, delivers a speech on MIFID II and ways to fight financial crime.

  10. FCA censures Amigo for failing to conduct adequate affordability checks

    Press Releases Published: 14/02/2023 Last modified: 14/02/2023
    The FCA has publicly censured Amigo Loans Ltd for failing to conduct adequate affordability checks on borrowers and guarantors.
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