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Showing 2441 to 2450 of 6305 search results for This final notice.

  1. FCA fines and imposes a restriction on Canara Bank for anti-money laundering systems failings

    Press Releases Published: 06/06/2018 Last modified: 06/06/2018
    The Financial Conduct Authority (FCA) has fined Canara Bank £896,100 and has imposed a restriction, preventing it from accepting deposits from new customers for 147 days.

  2. Former B&B Group Finance Director fined £30,000 for failings ahead of 2008 rights issue

    Press Releases Published: 12/12/2013 Last modified: 07/02/2022
    Christopher Willford fined £30,000 for failing to provide the board with up-to-date information about B&B’s financial position, including profits, mortgage arrears and re-possessions, ahead of its 2008 rights issue.

  3. Aberdeen Asset Managers and Aberdeen Fund Management fined £7.2 million for failing to protect client money

    Press Releases Published: 03/09/2013 Last modified: 17/09/2013
    The Financial Conduct Authority (FCA) has fined Aberdeen Asset Managers Limited and Aberdeen Fund Management Limited (Aberdeen) £7,192,500 for failing to identify, and therefore properly protect, client money placed in Money Market Deposits (MMDs)

  4. FCA bans Keith Dickinson and Andrew Allen for British Steel Pension Scheme advice failings, with £155k to be paid in compensation

    Press Releases Published: 13/09/2023 Last modified: 13/09/2023
    Keith Dickinson and Andrew Allen of Mansion Park Limited (Mansion Park) have been banned from advising customers on pension transfers and pension opt-outs.

  5. FCA fines financial advice firm and bans Arthur Cobill and William Hofstetter for British Steel Pension Scheme advice and oversight failings

    Press Releases Published: 11/03/2024 Last modified: 11/03/2024
    The FCA has fined Inspirational Financial Management Ltd (IFM), which is in administration, £897,840.

  6. FCA fines Commerzbank London £37,805,400 over anti-money laundering failures

    Press Releases Published: 17/06/2020 Last modified: 03/07/2020
    The FCA has today fined Commerzbank AG (London Branch) £37,805,400 for failing to put adequate anti-money laundering (AML) systems and controls in place between October 2012 and September 2017.

  7. FCA fines guarantor lender TFS Loans Ltd (in administration) and requires it to provide redress to affected guarantors

    Press Releases Published: 10/06/2022 Last modified: 10/06/2022
    We have fined TFS Loans Ltd (in administration) £811,900 in relation to deficient affordability checks on 3,150 guarantors in its consumer credit business.

  8. FCA to ban the promotion of UCIS and certain close substitutes to ordinary retail investors

    Press Releases Published: 04/06/2013 Last modified: 03/11/2016
    The Financial Conduct Authority (FCA) has published final rules to ban the promotion of Unregulated Collective Investment Schemes (UCIS) and certain close substitutes (together to be known as Non-Mainstream Pooled Investments (NMPIs)) to the vast

  9. CP14/5: Changes to regulatory reporting: Adviser and consultancy charging, Authorised Professional Firms (APFs) and Product Sales Data (PSD)

    Consultation papers Published: 07/03/2014 Last modified: 30/08/2015
    We will consider the feedback received and publish a Handbook Notice policy statement in late 2014. ... For more information:. view theradios. Yes. No. What can we do to improve pages like this?

  10. Clydesdale Bank fined £20,678,300 for serious failings in PPI complaint handling

    Press Releases Published: 14/04/2015 Last modified: 30/09/2016
    This is the largest ever fine imposed by the FCA for failings relating to PPI. ... The final notice for Clydesdale Bank Plc.
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