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FCA bans three individuals from working in the financial services industry for non-financial misconduct
The Financial Conduct Authority (FCA) has prohibited Russell David Jameson, Mark Horsey, and Frank Cochran from working in the financial services industry following findings that they are not fit and proper. Each of them had been convicted of -
FCA bans and fines Robert Shaw, of TailorMade Independent Ltd, for SIPP advisory failings
Robert Shaw, former director of advisory firm TailorMade Independent Ltd (TMI) (firm now dissolved), has been banned from senior positions in financial services and fined £41,400 by the Financial Conduct Authority (FCA). -
Deutsche Bank fined £227 million by Financial Conduct Authority for LIBOR and EURIBOR failings and for misleading the regulator
This case shows how seriously we view a failure to cooperate with our investigations and our determination to take action against firms where we see wrongdoing.”. ... The Final Notice for Deutsche Bank. -
Consumer Investments: Strategy and Feedback Statement
The FCA sets out its view of consumer harm in this market and its 3-year strategy to address this. -
FCA fines Deutsche Bank £163 million for serious anti-money laundering controls failings
The Financial Conduct Authority (FCA) has today fined Deutsche Bank AG (Deutsche Bank) £163,076,224 for failing to maintain an adequate anti-money laundering (AML) control framework during the period between 1 January 2012 and 31 December -
FCA fines Yorkshire Building Society £4,135,600 for failings in dealing with customers in mortgage arrears
These failures led to significant delays in determining the most appropriate payment solutions. ... The final notice for YBS. -
FCA fines insurance broker JLT Specialty Limited £7.8m for financial crime control failings
We have fined JLT Specialty Limited (JLTSL) £7,881,700 for financial crime control failings. -
Former B&B Group Finance Director fined £30,000 for failings ahead of 2008 rights issue
Christopher Willford fined £30,000 for failing to provide the board with up-to-date information about B&B’s financial position, including profits, mortgage arrears and re-possessions, ahead of its 2008 rights issue. -
Aberdeen Asset Managers and Aberdeen Fund Management fined £7.2 million for failing to protect client money
The Financial Conduct Authority (FCA) has fined Aberdeen Asset Managers Limited and Aberdeen Fund Management Limited (Aberdeen) £7,192,500 for failing to identify, and therefore properly protect, client money placed in Money Market Deposits (MMDs) -
Speech: Darwin and an evolution in price discrimination
Published: 17 March 2016. Thank you very much for coming to this lecture. ... For, in this case too, mark-ups must vary. Cross-subsidy is often used to refer to the distributional consequences of price discrimination.