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Showing 2361 to 2370 of 6304 search results for This final notice.
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Former Redcentric CFO sentenced to five and a half years imprisonment
Tim Coleman sentenced to five and a half years imprisonment and disqualified from being a director for ten years. -
FCA fines Sunrise Brokers LLP £642,400 for serious financial crime control failings in relation to cum-ex trading
Sunrise Brokers LLP has been fined over £600,000 for deficient anti money laundering systems and controls -
Invesco Perpetual fined £18.6 million for failings in fund management
In this case investors of all sizes trusted Invesco Perpetual to manage their money. ... 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 -
FCA bans director from working in financial services after violent criminal conviction
We have banned Mr Ashkan Zahedian from working in financial services following his conviction for serious, violent offences -
Lamprell plc fined £2,428,300 for systems and controls failings
The Financial Services Authority (FSA) has fined Lamprell plc (Lamprell) £2,428,300 for significant failings in its systems and controls resulting in Listing Rules and related breaches. Lamprell could not adequately monitor its financial -
FCA statement on onshoring ESMA’s temporary intervention measures on retail CFD and binary options products
The European Securities and Markets Authority’s (ESMA) temporary intervention measures prohibiting binary options and restricting contract for difference products (CFDs) sold to retail clients will become part of UK domestic law on exit day as -
FCA consults on new rules to improve open-ended property fund structures
The FCA is consulting on proposals to reduce the potential for harm to investors from the liquidity mismatch in open-ended property funds. The new rules as proposed would require investors to give notice – potentially of up to 180 days - before -
FCA fines and restricts W H Ireland Limited for market abuse risks
This second report showed that there were some recommendations which had not been implemented adequately within the time set by the Skilled Person. ... In this case, WHI’s failings were aggravated by the failure to implement adequately the skilled -
Financial Conduct Authority fines Credit Suisse and Yorkshire Building Society for financial promotions failures
Despite this CSI’s and YBS’s financial promotions marketed the potential maximum return on the product as a key promotional feature. ... Some of the issues raised in this case will be examined as part of its ongoing work. -
FCA fines Chase de Vere for failures surrounding sale of Keydata Products
Chase de Vere failed to do this, leaving its customers without a full understanding of the risks they were taking by investing their money in Keydata products.'. ... The final notice for Chase de Vere Independent Financial Advisers Limited.