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Showing 2431 to 2440 of 6305 search results for This final notice.

  1. Cenkos Securities fined for failure to maintain the high standards required of a firm providing Sponsor Services

    Press Releases Published: 09/08/2016 Last modified: 06/03/2017
    The Financial Conduct Authority (FCA) has today fined Cenkos Securities plc (Cenkos) £530,500 for failures in its sponsor services business.  Cenkos failed to have appropriate systems and controls in place across its sponsor services business, and,

  2. Two former senior executives of Martin Brokers fined and banned for compliance failings related to LIBOR

    Press Releases Published: 22/01/2015 Last modified: 22/01/2015
    The two directors failed to recognise the risk of this culture developing and failed to take reasonable steps to prevent it. ... be attributed to cultural failings, then we expect senior management to answer for this.".

  3. Firm fined £1.8million for "unacceptable" approach to bribery & corruption risks from overseas payments

    Press Releases Published: 19/12/2013 Last modified: 30/08/2015
    Firms cannot be complacent about their controls – when we take enforcement action we expect the industry to sit up and take notice.". ... The Final Notices for JLT Specialty Limited (JLTSL).

  4. FCA decides on £5.95m fine and industry ban for Nailesh Teraiya in latest cum-ex case

    Press Releases Published: 18/03/2024 Last modified: 18/03/2024
    Mr Teraiya has referred his Decision Notice to the Upper Tribunal. Any findings in the Decision Notice are therefore provisional and reflect the FCA’s belief as to what occurred and how it considers his behaviour should be characterised.

  5. Lloyds Banking Group fined £117m for failing to handle PPI complaints fairly

    Press Releases Published: 05/06/2015 Last modified: 05/06/2015
    Some customers whose complaints were rejected were told that their complaint had been ‘fully investigated’ with ‘appropriate weight and balanced consideration [given] to all available evidence’, when this was not the ... Were it not for this

  6. Martin Brokers (UK) Limited fined £630,000 for significant failings in relation to LIBOR

    Press Releases Published: 15/05/2014 Last modified: 22/03/2016
    The Final Notice for Martins. ... The remaining contributions were then arithmetically averaged to create the final published LIBOR rate.

  7. FCA fines Xcap Securities PLC £120,900 for client asset failings and applies new penalty regime

    Press Releases Published: 11/06/2013 Last modified: 17/09/2013
    The Financial Conduct Authority (FCA) has fined Xcap Securities PLC (Xcap), a retail investment and capital markets business, £120,900 for failing to adequately protect client money and client assets. This is the first client asset case the FCA has

  8. Santander UK Plc (Santander) fined £32.8m for serious failings in its probate and bereavement process

    Press Releases Published: 19/12/2018 Last modified: 19/12/2018
    The Financial Conduct Authority (FCA) has fined Santander £32,817,800 for failing to effectively process the accounts and investments of deceased customers.

  9. Barclays fined £59.5 million for significant failings in relation to LIBOR and EURIBOR

    Press Releases Published: 27/06/2012 Last modified: 22/03/2013
    The Financial Services Authority (FSA) has today fined Barclays Bank Plc (Barclays) £59.5 million for misconduct relating to the London Interbank Offered Rate (LIBOR) and the Euro Interbank Offered Rate (EURIBOR). This is the largest fine ever

  10. CP23/2: Streamlining our rules on structured digital reporting of financial statements

    Consultations Consultation papers Published: 12/01/2023 Last modified: 28/07/2023
    The FCA consulted on changes to streamline transparency rules for certain companies with securities admitted to UK regulated markets to prepare their annual financial report in a specific web browser format (XHTML), and to present the financial
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