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Showing 2281 to 2290 of 6304 search results for This final notice.
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FCA fines and bans financial adviser for insider dealing
He also provided evidence of serious financial hardship; but for this, the FCA would have imposed a penalty of £78,819. ... The final notice for Mark Taylor. -
Adviser Mark Abley pays £106k for poor pension transfer advice
The FCA has banned Mark Abley of County Capital Wealth Management Ltd (in liquidation) (CCWM) from providing any advice on pension transfers. -
Upper Tribunal publishes decision on Andrew Tinney, the former COO of Barclays Wealth
The Upper Tribunal has found that Andrew Tinney, the former COO of Barclays Wealth and Investment Management, breached his obligation as an approved person to act with integrity. -
Data on Defined Benefits pension transfer activities - February 2022
The FCA answers multiple questions regarding Defined Benefits Pension Transfer activities. -
Blue Gate Capital Limited ordered to pay Connaught investors £203,007
The FCA has publicly censured Blue Gate Capital Limited (Blue Gate) and ordered it to pay £203,007 in restitution to investors who lost money investing in the Connaught Income Fund, Series 1 (the Fund). -
FCA decides to fine Tariq Carrimjee in relation to market abuse committed by Rameshkumar Goenka in October 2010
The Financial Conduct Authority (FCA) has today published a Decision Notice for Tariq Carrimjee of Somerset Asset Management LLP in relation to assisting Goenka. -
Tribunal upholds FCA ban and significant fine on insurance broker
The Upper Tribunal (Tribunal) has upheld the decision of the Financial Conduct Authority (FCA) to ban Andrew Jeffery, director of Jeffery Flanders (Consulting) Limited, and fine him £150,000 – one of the largest fines imposed on a broker for -
The FCA bans Keydata’s former compliance officer, Peter Johnson
The Final Notice follows Mr Johnson’s withdrawal of his reference to the Upper Tribunal. ... The Final Notice for Peter Johnson. -
Anti-competitive conduct in the asset management sector: FCA Decisions under the Competition Act 1998
On 21 February 2019, the FCA decided that 3 asset management firms, Hargreave Hale Ltd, Newton Investment Management Limited and River and Mercantile Asset Management LLP (RAMAM), breached competition law. They shared strategic information during a -
Adviser banned and fined for fabricating RDR qualification certificates
Were it not for this discount, the FCA would have imposed a financial penalty of £25,734. ... The CII withheld publication of this matter so as not to prejudice the FCA’s investigation.