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Showing 2521 to 2530 of 6303 search results for This final notice.

  1. FCA bans Geoffrey Armin for failures in advice given to British Steel Pension Scheme Members, with £200k to be paid in compensation

    Press Releases Published: 03/11/2023 Last modified: 03/11/2023
    The Financial Conduct Authority (FCA) has banned Geoffrey Armin from advising customers on pension transfers and pension opt outs, and from holding any senior management function in a regulated firm.

  2. The FCA fines Porta Verde £25,000 for serious failings in its appointed representatives’ sales practices

    Press Releases Published: 13/12/2013 Last modified: 08/11/2016
    Appointed representatives (ARs) are individuals or firms that carry out regulated activities under the oversight of a regulated Principal (in this case, Porta Verde), which is directly authorised by the FCA ... The agent misled the carer, stating "I

  3. FCA fines Aviva Investors £17.6m for systems and controls failings that led to its failure to manage conflicts of interest fairly

    Press Releases Published: 24/02/2015 Last modified: 24/02/2015
    This risk was particularly acute on desks where funds traded in the same instruments. ... The Final Notice for Aviva Investors Global Services Limited.

  4. FCA censures Lighthouse Advisory Services Limited for serious failings in relation to the British Steel Pension Scheme and £23m paid out in redress

    Press Releases Published: 15/05/2023 Last modified: 15/05/2023
    The Financial Conduct Authority (FCA) has censured Lighthouse Advisory Services Limited for the unsuitable advice given during the period 1 April 2015 to 30 April 2019 to people looking to transfer out of defined benefit pension schemes, including

  5. FCA fines Guaranty Trust Bank (UK) Ltd £525,000 for failures in its anti-money laundering controls

    Press Releases Published: 09/08/2013 Last modified: 17/09/2013
    The Financial Conduct Authority (FCA) has fined Guaranty Trust Bank (UK) Ltd (GT Bank) £525,000 for failings in its anti-money laundering (AML) controls for high risk customers between May 2008 and June 2010.

  6. Notice of Decision 2024: Ricsar Automotive [pdf]

    Decision notices Published: 19/07/2024
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

  7. FSA Final Notice 2009: Mr Ayodele Olubunmi Thomas [pdf]

    Final notices Published: 02/10/2009 Last modified: 14/06/2014
    FSA Final Notice 2009: Mr Ayodele Olubunmi Thomas

  8. Notice of Decision 2024: Boyslade Garage Limited [pdf]

    Decision notices Published: 19/07/2024
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

  9. Notice of Decision 2024: Devlin Motors Ltd [pdf]

    Decision notices Published: 22/07/2024
    This Notice of Decision refers to a failure to carry on regulated activity. We imposed a cancellation.

  10. Notice of Decision 2024: CASAFI Limited [pdf]

    Decision notices Published: 19/07/2024
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.
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