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Showing 2281 to 2290 of 2368 search results for This Final Notice refers to a failure.

  1. FCA bans partners of firm that failed to consider customer SIPP suitability

    Press Releases Published: 17/04/2014 Last modified: 20/05/2014
    This was then compounded by the partners’ failure to ensure that their customers fully understood these risks”. ... To support this it has three operational objectives: to secure an appropriate degree of protection for consumers; to protect and

  2. The FCA’s Competition Powers

    Speeches Published: 23/03/2016 Last modified: 09/11/2016
    Speech by Deb Jones, Director of Competition at the FCA, delivered at The Impact of Competition Powers on Financial Services Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

  3. FCA bans and censures managing director of SIPP operator Montpelier Pension Administration Services Limited

    Press Releases Published: 18/04/2013 Last modified: 25/11/2021
    The FCA has banned Kevin Wells, the managing director of Montpelier Pension Administration Services Limited (MPAS), from performing any significant influence function at any regulated firm, and also censured him.

  4. Consumer investments data review April 2020 - March 2021

    Data Published: 15/09/2021 Last modified: 13/06/2023
    A summary of the FCA's work to tackle consumer harm in the investment market, between 1 April 2020 and 31 March 2021.

  5. Reports about sexual and non-financial misconduct made to the FCA

    FOI Release Date of Release: 07/09/0201
    The FCA responds on the numbers of reports about sexual and non-financial misconduct made to the FCA

  6. Our approach to competition

    Corporate documents Published: 19/03/2024 Last modified: 21/03/2024
    The FCA promotes effective competition in the interests of consumers.

  7. The FCA fines Rabobank £105 million for serious LIBOR-related misconduct

    Press Releases Published: 29/10/2013 Last modified: 29/10/2013
    This is unacceptable. Rabobank’s flawed assurances and failure to get a grip on what was going on in its business were extremely disappointing. ... The Final Notice for Rabobank.

  8. FCA fines The Bank of New York Mellon London branch and The Bank of New York Mellon International Limited £126 million for failure to comply with the Custody Rules

    Press Releases Published: 15/04/2015 Last modified: 15/04/2015
    As a result of this, the Firms are systemically important to the UK market. ... The final notice for The Bank of New York Mellon London Branch / The Bank of New York Mellon (International) Ltd.

  9. Information on investigations opened under the Senior Managers' Regime - June 2022

    FOI Release Date of Release: 22/06/2022
    The FCA provides information on investigations opened under the Senior Managers' Regime.

  10. FCA fines LBGI £90 million for failures in communications for home insurance renewals between 2009 and 2017

    Press Releases Published: 08/07/2021 Last modified: 08/07/2021
    The FCA has fined LBGI (Lloyds Bank General Insurance Limited, St Andrew’s Insurance Plc, Lloyds Bank Insurance Services Limited and Halifax General Insurance Services Limited) £90,688,400 for failing to ensure that language contained within
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