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Showing 2081 to 2090 of 2098 search results for This Final Notice refers to breaches.
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Royal Bank of Scotland fined £5.6m for failing to properly report over a third of transactions
The Royal Bank of Scotland (RBS) has been fined £5,620,300 by the Financial Conduct Authority (FCA) for incorrectly reporting transactions they made in wholesale markets, and in some instances, failing to report transactions at all. -
Deutsche Bank fined £227 million by Financial Conduct Authority for LIBOR and EURIBOR failings and for misleading the regulator
Georgina Philippou, acting director of enforcement and market oversight, said:. “This case stands out for the seriousness and duration of the breaches by Deutsche Bank – something reflected in the size of ... The Final Notice for Deutsche Bank. -
Clydesdale Bank fined £8.9 million for failing to treat its mortgage customers fairly
This process has been agreed with the FCA, which has an objective to secure an appropriate degree of protection for consumers. ... This lack of clarity was compounded by poor instructions to Clydesdale’s call handlers for dealing with customers who -
Cryptoasset AML / CTF regime: feedback on good and poor quality applications
Feedback on good and poor quality applications made to the FCA under money laundering regulations. -
Funeral plans: check your provider is authorised
Whether you're buying a new funeral plan or you already have one, find out how to make sure your provider is authorised by us, and what you should do if it isn’t. -
IFPR implementation observations: quantifying threshold requirements and managing financial resources
Firms should consider these and how they can strengthen their processes. -
How implementing the Mortgage Market Review will shape the new market
Speech by Linda Woodall, Director of Mortgages and Consumer Lending, the FCA, at the Financial Services Expo, London. This is the text of the speech as drafted, which may differ from the delivered version. -
The FCA censures Catalyst Investment Group Limited for misleading investors and fines former compliance officer
he Financial Conduct Authority (FCA) has censured Catalyst Investment Group Limited (Catalyst) for recklessly misleading investors when promoting bonds offered by ARM Asset Backed Securities SA (ARM) between November 2009 and May 2010. -
FCA outcomes and metrics
The FCA is committed to being clear about how it is accountable for its progress. On this page the FCA sets out its outcomes and the metrics it will use to measure them. -
Business Plan 2023/24
The FCA's Business Plan details the work it will do over the next 12 months to help deliver the commitments in its Strategy.