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Showing 2301 to 2310 of 6304 search results for This final notice.
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FCA prohibits IFA and mortgage adviser for fitness and propriety failings
The FCA has prohibited financial advisor Anthony George from performing any regulated activity in the financial services industry. -
FCA imposes recruitment ban on the Financial Group for failing to control its Appointed Representatives
Charles Palmer, the Group’s CEO, was the subject of a previous Final Notice in 2010, relating to earlier failings at Financial and Investments. ... The Final Notice for Financial Limited andAn appointed representative (AR) is a person or firm who -
FCA bans Magnus Michael Peterson from the financial services industry
The Final Notice for Mr Peterson. ... To support this it has three operational objectives: to secure an appropriate degree of protection for consumers; to protect and enhance the integrity of the UK financial system; and to promote -
FCA fines Sir Christopher Gent for disclosing inside information
The Financial Conduct Authority (FCA) has fined Sir Christopher Gent, former non-executive Chairman of ConvaTec Group Plc, £80,000 for unlawfully disclosing inside information. -
The Financial Conduct Authority (FCA) bans two individuals from the financial services industry
The FCA has today banned two individuals from performing any function in relation to any regulated activity in the financial services industry. -
FCA bans and censures managing director of SIPP operator Montpelier Pension Administration Services Limited
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. -
FCA fines and bans former Deutsche Bank trader, Guillaume Adolph
The Financial Conduct Authority (FCA) has fined Guillaume Adolph £180,000 and banned him from performing any function in relation to any regulated financial activity. -
FCA statement regarding potential enforcement action against Link Fund Solutions Ltd
This follows an announcement made on 21 September by Link Group to the Australian Securities Exchange. -
Cryptoasset registration: information for applicants
The FCA's requirements and expectations of cryptoasset businesses for AML/CTF regime registration. -
Ex-Mortgage Advisor sentenced to two years after FCA action
On Friday 12 July, at Maidstone Crown Court, following criminal action brought by the Financial Conduct Authority (FCA), Michael Joseph James Lewis was sentenced to two years in prison on two counts of making/supplying documentation for use in fraud