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Showing 2371 to 2380 of 6304 search results for This final notice.

2371. FCA proposes permanent measures for retail CFDs and binary options

      Press Releases Published: 07/12/2018 Last modified: 07/12/2018
      The Financial Conduct Authority (FCA) is proposing rules to address harm to retail consumers from the sale of certain complex derivative products with the publication of two consultation papers.

2372. FCA and PRA fine Goldman Sachs International £96.6m for risk management failures in connection with 1MDB

      Press Releases Published: 22/10/2020 Last modified: 23/10/2020
      FCA and PRA fine Goldman Sachs International £96.6m for risk management failures connected to 1Malaysia Development Berhad (1MDB)

2373. FCA fines Sapien Capital Ltd for serious financial crime control failings in relation to cum/ex trading

      Press Releases Published: 06/05/2021 Last modified: 06/05/2021
      We have fined Sapien Capital Ltd £178,000 for failings which led to the risk of facilitating fraudulent trading and money laundering.

2374. FCA bans and fines former Burlington director for dishonest involvement in the sale of Unregulated Collective Investment Schemes to retail customers

      Press Releases Published: 29/08/2014 Last modified: 29/08/2014
      This was a deliberate breach of the agreement between Burlington and its principal firm. ... 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

2375. FCA consults on new guidance on variation terms under unfair terms legislation

      Press Releases Published: 17/05/2018 Last modified: 31/05/2018
      The Financial Conduct Authority (FCA) is consulting on new guidance outlining factors financial services firms should consider under the Consumer Rights Act 2015 (CRA) when drafting and reviewing variation terms in their consumer contracts. The CRA

2376. FCA bans four for 'disgraceful' failings in relation to occupational pension schemes

      Press Releases Published: 17/12/2013 Last modified: 12/06/2020
      Three men have been banned from working in the financial services industry by the Financial Conduct Authority (FCA); and another has been banned from holding key positions. This follows a review of CBW Trustees Limited and CBW Pensions Forensics

2377. FCA imposes penalties on Sonali Bank (UK) Limited and its former money laundering reporting officer for serious anti-money laundering systems failings

      Press Releases Published: 12/10/2016 Last modified: 12/10/2016
      The Financial Conduct Authority (FCA) has fined Sonali Bank (UK) Limited (SBUK) £3,250,600 and has imposed a restriction, preventing it from accepting deposits from new customers for 168 days. It has also fined the bank’s former money laundering

2378. The FCA fines Vanquis £1,976,000 and orders Vanquis to pay compensation to customers

      Press Releases Published: 27/02/2018 Last modified: 27/02/2018
      The Financial Conduct Authority (FCA) has today imposed a fine of £1,976,000 on credit card lender, Vanquis, for failing to disclose the full price of an add-on product, called Repayment Option Plan (ROP). The firm will also repay an estimated £168

2379. FCA fines GAM International Management and former Investment Director Timothy Haywood

      Press Releases Published: 30/03/2022 Last modified: 30/03/2022
      The Financial Conduct Authority (FCA) has fined asset manager GAM International Management Limited (GIML) and Timothy Haywood, a former Investment Director and Business Unit Head at GIML.

2380. Santander UK fined £12.4m for widespread investment advice failings

      Press Releases Published: 26/03/2014 Last modified: 25/11/2021
      Santander UK Plc has been fined £12,377,800 by the Financial Conduct Authority (FCA) after the regulator uncovered serious failings in the way it offered financial advice from its bank.