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Showing 2311 to 2320 of 6304 search results for This final notice.
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FCA fines Reckitt Benckiser £539,800 for listing rule failures
This contributed to late and incomplete disclosure to the market of share dealings by two senior executives. ... The Final Notice for Reckitt Benckiser Group. -
UBS fined £9.45m for failings in its sale of an AIG fund
The Financial Services Authority (FSA) has fined UBS AG (UBS) for failures in the sale of the AIG Enhanced Variable Rate Fund (the Fund). These failures led to UBS customers being exposed to an unacceptable risk of an unsuitable sale of the Fund. -
FCA censures Amigo for failing to conduct adequate affordability checks
The FCA has publicly censured Amigo Loans Ltd for failing to conduct adequate affordability checks on borrowers and guarantors. -
Debt management firms must raise their game, says FCA
Since April:. we have issued final notices against two firms who have had their applications refused. ... To support this it has three operational objectives: to secure an appropriate degree of protection for consumers; to protect and enhance the -
FCA fines former investment banker for sharing confidential information over WhatsApp
The Financial Conduct Authority (FCA) has today fined Christopher Niehaus, a former investment banker, £37,198 for sharing client confidential information over WhatsApp. The FCA found that Mr Niehaus failed to act with due skill, care and -
FCA bans partners of firm that failed to consider customer SIPP suitability
This was then compounded by the partners’ failure to ensure that their customers fully understood these risks”. ... To support this it has three operational objectives: to secure an appropriate degree of protection for consumers; to protect and -
The FCA has fined Liberty Mutual Insurance Europe SE £5.2 million for failures in its oversight of mobile phone insurance claims and complaints handling
The Financial Conduct Authority (FCA) has fined Liberty Mutual Insurance Europe SE (Liberty) £5,280,800 for failures between 5 July 2010 and 7 June 2015 in its oversight of its mobile phone insurance claims and complaints handling processes -
FCA cancels payday lender’s interim permission, bans director and refuses application to conduct regulated business
The Financial Conduct Authority (FCA) has banned Andrew Barry Hart, the sole director, controller and ultimate owner of Wage Payment and Payday Loans Limited (WPPL), from performing any role in regulated financial services. The FCA has also -
FCA fines Barclays £26 million over treatment of customers in financial difficulty
The Financial Conduct Authority (FCA) has fined Barclays Bank UK PLC, Barclays Bank PLC and Clydesdale Financial Services Limited (Barclays) £26 million for failures in relation to their treatment of consumer credit customers who fell into arrears -
The Financial Conduct Authority bans former Deutsche Bank trader, Christian Bittar
The Financial Conduct Authority (FCA) has banned Christian Bittar from performing any function in relation to any regulated financial activity.