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Showing 2971 to 2980 of 3286 search results for This final notice refers.

2971. FCA clamps down on marketing of high-risk investments to consumers

      Press Releases Published: 01/08/2022 Last modified: 01/08/2022
      We have finalised stronger rules to help tackle misleading adverts that encourage investing in high-risk products.

2972. FCA confirms how it will use new power to publicise warning notices

      Press Releases Published: 15/10/2013 Last modified: 15/10/2013
      The Financial Conduct Authority (FCA) today confirmed how it will use its new power to publicise warning notices by publishing information about proposed enforcement action. ... Before making its final decision, it will consult the person under

2973. Effective global regulation in capital markets

      Speeches Published: 05/12/2017 Last modified: 11/04/2018
      Speech by Megan Butler, Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered to ICI Global Conference, London

2974. Moorhouse fined for failures in relation to its telephone sales

      Press Releases Published: 23/04/2015 Last modified: 23/04/2015
      Were it not for this discount the Authority would have imposed a penalty of £227,670. ... The Final Notice for Moorhouse Group Limited.

2975. FCA fines US based oil trader US $903K for market manipulation

      Press Releases Published: 22/07/2013 Last modified: 23/11/2021
      The Financial Conduct Authority (FCA) has fined US based High Frequency Trader, Michael Coscia, US $903,176 (£597,993) for deliberate manipulation of commodities markets.

2976. Tribunal upholds FCA fine on firm for misselling complex investments

      Press Releases Published: 27/11/2013 Last modified: 17/12/2013
      It remains open to Westwood to appeal the judgment. Update 17/12/2013: Westwood will not appeal the judgment, and the FCA has issued a Final Noticeto Westwood. ... Westwood’s Decision Notice was issued on 31 May 2011 and Westwood referred the matter to

2977. Information on suspected orderbook spoofing and/or layering

      FOI Release Date of Release: 31/08/2021
      FCA responds on request for numbers of 'incidents' and 'cases' of suspected orderbook spoofing and/or layering

2978. FCA bans and fines former insurance broker £140,000

      Press Releases Published: 19/07/2013 Last modified: 17/09/2013
      The Financial Conduct Authority (FCA) has fined and banned Paul Cable of Bromley, Kent £140,000 for failing to act with integrity.

2979. PS24/1: Temporary changes to handling rules for motor finance complaints

      Policy statements Published: 11/01/2024 Last modified: 11/01/2024
      We set out and explain our response to a potential increase in complaints in the motor finance market.

2980. Barclays fined £783,800 and agrees to make a voluntary payment to Premier FX customers

      Press Releases Published: 28/02/2022 Last modified: 28/02/2022
      Barclays failed to make enquiries to ensure that Premier FX’s actual business activity aligned with Barclays’ expectations and did not identify that Premier FX’s internal controls were deficient.