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Showing 2501 to 2510 of 6304 search results for This final notice.
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Royal Bank of Scotland fined £5.6m for failing to properly report over a third of transactions
The Royal Bank of Scotland (RBS) has been fined £5,620,300 by the Financial Conduct Authority (FCA) for incorrectly reporting transactions they made in wholesale markets, and in some instances, failing to report transactions at all. -
FCA takes action against Darren Reynolds and Andrew Deeney of Active Wealth for dishonest pension transfer advice
The FCA has decided to fine Mr Reynolds of Active Wealth (UK) Limited (Active Wealth) £2,212,316 and ban him from working in financial services. Mr Deeney was fined £397,400 and banned from working in financial services. -
FCA fines Towergate and former director Timothy Philip for client and insurer money failings
This resulted in a £3.6 million deficit in Towergate’s insurer money bank accounts. ... Final notices for Towergate Underwriting Group Limited and Timothy Philip. -
Alsford Page & Gems Limited censured and agrees to pay extended warranty insurance customers £399,902
We have publicly censured Alsford Page & Gems Limited and they will pay compensation totalling £399,902. -
The FCA fines and prohibits financial adviser for failing to act with integrity and for failing to be open and honest with the regulator
The Financial Conduct Authority (FCA) has today banned Elizabeth Anne Parry from performing any function in relation to any regulated financial activity and fined her £109,400 for lying repeatedly to the regulator when asked about her qualification -
GC16/2: Proposal to issue guidance on the FCA’s view of enforcing security under the Consumer Credit Act 1974
notice. After reconsidering the matter we have now revised our view of how a court is likely to interpret the relevant CCA provisions. ... Guidance Consultation 16/2 [PDF]. This guidance is relevant to firms with regulated agreements involving a -
FCA bans and issues largest ever fine of nearly £1 million on a retail sole trader for deliberately misleading vulnerable customers for personal gain
The Financial Conduct Authority (FCA) has fined sale and rent back arranger Gurpreet Singh Chadda £945,277 and banned him from working in the financial services industry for significant failings when conducting sale and rent back agreements. This -
FCA fines Swinton Group Limited £7.38 million for mis-selling monthly add-on insurance policies
The Financial Conduct Authority (FCA) has fined Swinton Group Limited (Swinton), one of the largest insurance retailers on the high street, £7,380,400 for mis-selling. The FCA found that Swinton’s aggressive sales strategy meant that it failed to -
FCA statement on the Work Plan for ESMA opinions on pre-trade transparency waivers and commodity position limits
for them to adapt their rules, systems and processes in order to comply before we take any final decision. ... notice period before the revised limit replaces the initial limit to allow market participants to adjust positions and, if eligible, apply for -
FCA fines former Head of JP Morgan’s CIO International £792,900 for failing to be open and co-operative
Although settlement in this case was reached during Stage 2 which would usually lead to a 20% discount, in exceptional cases the Authority may accept that there has been a substantial ... To support this it has three operational objectives: to secure an