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Showing 2471 to 2480 of 6305 search results for This final notice.
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Two former directors of Pritchard Stockbrokers fined and banned for recklessly failing to protect client money
The Financial Conduct Authority (FCA) has fined and banned David Gillespie, Managing Director, and David Welsby, Finance Director, of stockbroking and wealth management firm, Pritchard Stockbrokers Limited (Pritchard) for serious failings in -
FCA bans Nigel Lewis and Susan Jones for incompetent British Steel Pension Scheme advice
The Financial Conduct Authority (FCA) has banned Nigel Lewis and Susan Jones of West Wales Financial Services Limited (in liquidation) (WWFS) from advising customers on pension transfers and pension opt outs. Mr Lewis has also been banned from -
FS21/8: Feedback to consultation paper on liquidity mismatch in authorised open-ended property funds
We consulted on reducing the potential for investor harm where the terms for dealing in some property funds are not aligned with the time it takes to buy or sell the buildings in which the funds invest in. -
FCA fines Lloyds Bank, Bank of Scotland and The Mortgage Business £64,046,800 for failures in mortgage arrears handling
The FCA has fined Lloyds Bank, Bank of Scotland and The Mortgage Business £64,046,800 for failures in mortgage arrears handling. The banks estimate they will have paid £300 million in customer redress. The redress programme is nearly complete. -
Productive finance working group publishes recommendations addressing the barriers to investment in less liquid assets
The Productive Finance Working Group has today published a series of recommendations which could facilitate greater investment in longer-term, less liquid assets. The Group is industry led, co-chaired by the Governor of the Bank, the Chief Executive -
Barclays fined £26m for failings surrounding the London Gold Fixing and former Barclays trader banned and fined for inappropriate conduct
We expect all firms to look hard at their reference rate and benchmark operations to ensure this type of behaviour isn’t being replicated. ... Without this, Barclays’ fine would have been £37,190,800 and Plunkett's fine would have been £136,600. -
Barclays fined £38 million for putting £16.5 billion of client assets at risk
Without this, the FCA would have imposed a penalty of £53,921,619. ... The Final Notice for Barclays Bank Plc. -
The FCA sets out in detail how it will regulate consumer credit, including payday lending, when it takes over responsibility in April 2014
February 2014. Policy statement in response to this consultation, including final rules for the new regime. ... March 2014. Final version of plain language guidance on the new consumer credit regime for firms and other stakeholders. -
FCA bans former Co-operative Bank Chair, Paul Flowers, from the financial services industry
The Financial Conduct Authority (FCA) has banned the former Chair of Co-operative Bank PLC (Co-op Bank), Paul Flowers, from the financial services industry. -
FCA fines Pembrokeshire Mortgage Centre Ltd £2.4m for serious failings in relation to the British Steel Pension Scheme
The FCA has fined Pembrokeshire Mortgage Centre Limited (PMC) (trading as County Financial Consultants) (in liquidation) £2,354,331 for giving consumers unsuitable advice to transfer out of the British Steel Pension Scheme and other defined benefit