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Showing 2181 to 2190 of 6304 search results for This final notice.
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FCA fines TFS-ICAP £3.44 million for market misconduct
The Financial Conduct Authority (FCA) has fined TFS-ICAP Ltd, an FX options broker, £3.44m for communicating misleading information to clients. -
IRHP: businesses in financial distress
How the IRHP review considers businesses in financial difficulty, businesses in administration and dissolved companies. -
The FCA fines Tullett Prebon £15.4 million
The Financial Conduct Authority (FCA) has fined Tullett Prebon (Europe) Limited (Tullett Prebon) £15.4 million for failing to conduct its business with due skill, care and diligence, failing to have adequate risk management systems and for failing -
TSB fined £48.65m for operational resilience failings
The Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) have fined TSB Bank plc (“TSB”) a total of £48,650,000 for operational risk management and governance failures, including management of outsourcing risks, -
Settlement in enforcement cases
An FCA settlement is a regulatory decision taken by us, the terms of which are accepted by the firm or individual concerned. -
FCA fines former fund manager Paul Stephany
The Financial Conduct Authority (FCA) has fined Paul Stephany, a former fund manager at Newton Investment Management Limited, £32,200 for his conduct in relation to an Initial Public Offering (IPO) and a placing. -
FCA bans former BGC senior executive Anthony Verrier
Where we have evidence of failures to do so, in whatever context this occurs, the FCA will take action accordingly.". ... The Final Notice for Anthony Verrier. -
FCA proposing changes to streamline decision-making
The FCA is proposing changes to its decision-making process which will enable it to make faster and more effective decisions. -
FCA cancels KBFS Financial Limited’s authorisation
We have cancelled the permissions of KBFS Financial Limited (KBFS), preventing them from providing any financial services. -
FCA fines and prohibits trader for market abuse
The FCA has fined Mr Adrian Geoffrey Horn for market abuse and prohibited him from performing any functions in relation to regulated activity.