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Showing 2451 to 2460 of 6305 search results for This final notice.
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FCA bans and fines Paul Reynolds £290,344 for misleading and unsuitable advice
On 13 January 2014, Mr Reynolds referred the FCA’s Decision Notice to the Upper Tribunal. ... On 30 April 2015, Mr Reynolds withdrew his reference. The Final Notice. -
JPMorgan Chase Bank N.A. fined £137,610,000 for serious failings relating to its Chief Investment Office’s “London Whale” trades
What is worse, they compounded this by failing to be open and co-operative with us as their regulator. ... Final Notice for JP Morgan Chase Bank NA. -
FSA fines Norwich Union Life £1.26m for exposing its customers to the risk of fraud
The Financial Services Authority (FSA) has fined Norwich Union Life £1.26 million for not having effective systems and controls in place to protect customers' confidential information and manage its financial crime risks. These failings resulted in -
Lloyds Banking Group fined £4.3 million for delayed PPI redress payments
The Financial Services Authority (FSA) has fined three Lloyds Banking Group firms a total of £4,315,000 for failings in their systems and controls that resulted in up to 140,000 customers receiving delayed payment protection insurance (PPI) redress. -
FCA publicly censures Horn Express Ltd (formerly known as Qaran Express Money Transfer Limited) for breaches of the Payment Services Regulations
The Financial Conduct Authority (FCA) has publicly censured Horn Express Limited (formerly known as Qaran Express Money Transfer Limited, “QEMTL”) for failing to safeguard and segregate customer funds. The FCA would have fined QEMTL £136,687 -
FSA publishes its Internal Audit Report on: review of the extent of awareness within the FSA of inappropriate LIBOR submissions
The Financial Services Authority (FSA) has published its Internal Audit Report (the Report) on the London Interbank Offered Rate (LIBOR). -
FCA fines The TJM Partnership Limited (in liquidation) £2 million for serious financial crime control failings in relation to cum-ex trading
The FCA has fined The TJM Partnership Limited (in liquidation) £2,038,700 for failing to ensure it had effective systems and controls to identify and reduce the risk of financial crime and money laundering in its business. This is the third case -
CP16/3: Financial Services Compensation Scheme – Management Expenses Levy Limit 2016/17
Please email us your comments by 15 February 2016. Following this consultation, the PRA and FCA will consider any feedback and issue two respective policy statements or an equivalent Handbook Notice ... on the final MELL so that the amended PRA and FCA -
FCA fines Stonebridge International Insurance Limited £8.4m in relation to sales of insurance policies
choices about the product that is right for them.Stonebridge failed to do this and, when customers tried to cancel, put up barriers to prevent them from doing so.Firms must ... Final Notice - Stonebridge International Insurance Limited. -
Pension transfers or switches with a view to investing pension monies into unregulated products through SIPPs - Further alert
We have also recently published two final notices where we took enforcement action against two partners in a firm, Andrew Rees and Timothy Hughes, who failed to comply with our rules ... Firms operating in this market need to be particularly careful to