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Showing 2331 to 2340 of 6304 search results for This final notice.

2331. FCA bans convicted fraudster from carrying out regulated activity

      Press Releases Published: 14/07/2021 Last modified: 14/07/2021
      An FCA investigation found Mr Creed failed to inform the FCA about his bankruptcy and a disqualification as a company director

2332. FCA and PRA jointly fine Raphaels Bank £1.89m for outsourcing failings

      Press Releases Published: 30/05/2019 Last modified: 30/05/2019
      The Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) have fined R. Raphael & Sons plc (“Raphaels”) for failing to manage its outsourcing arrangements properly between April 2014 and December 2016. 

2333. Findings from our investment platforms costs and charges review – good and poor practice

      Firms Published: 04/05/2022 Last modified: 04/05/2022
      In our Investment Platforms Market Study we said we would keep the role of platforms in helping consumers understand their investment costs under review.

2334. Information on enforcement investigations opened against individuals (SMR) - May 2022

      FOI Release Date of Release: 11/05/2022
      The FCA provides data on enforcement investigations opened against individuals (SMR).

2335. FCA fines HSBC £6.2 million over treatment of customers in financial difficulty

      Press Releases Published: 23/05/2024 Last modified: 31/05/2024
      We have fined HSBC UK Bank plc for failures in its treatment of customers who were in arrears or experiencing financial difficulty. 

2336. FCA fines and prohibits Mr Stephen Bell, former director of network Financial Group, from performing compliance oversight function

      Press Releases Published: 13/03/2015 Last modified: 13/03/2015
      The FCA found that Mr Bell designed and implemented the firms’ systems and controls and was therefore knowingly concerned in the firms’ breaches - set out in Final Notices issued against the ... The Final Notice for Financial Ltd and Investments Ltd.

2337. IFPR reporting, applications and notifications

      Firms Focus areas Published: 06/05/2022 Last modified: 13/02/2023
      The FCA provides information on how to submit MIFIDPRU applications and notifications, and information about MIF returns.

2338. FCA penalises Al Rayan Bank PLC for anti-money laundering failures 

      Press Releases Published: 11/01/2023 Last modified: 11/01/2023
      We have fined Al Rayan Bank for failing to put in place adequate anti-money laundering (AML) controls.

2339. RBS fined £87.5 million for significant failings in relation to LIBOR

      Press Releases Published: 06/02/2013 Last modified: 18/11/2021
      The Financial Services Authority (FSA) has fined The Royal Bank of Scotland plc (RBS) £87.5 million for misconduct relating to the London Interbank Offered Rate (LIBOR).

2340. FCA statement on its work on liquidity mismatch in authorised open-ended property funds

      Statements Published: 07/05/2021 Last modified: 07/05/2021
      In August 2020 we consulted on proposals to reduce the potential for harm to investors from the liquidity mismatch in open-ended property funds.