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Showing 3011 to 3020 of 3286 search results for This final notice refers.

  1. The FCA bans Keydata’s former compliance officer, Peter Johnson

    Press Releases Published: 19/05/2016 Last modified: 19/05/2016
    The Final Notice follows Mr Johnson’s withdrawal of his reference to the Upper Tribunal. ... The Final Notice for Peter Johnson.

  2. FCA decides to fine Tariq Carrimjee in relation to market abuse committed by Rameshkumar Goenka in October 2010

    Press Releases Published: 08/08/2013 Last modified: 17/09/2013
    The Financial Conduct Authority (FCA) has today published a Decision Notice for Tariq Carrimjee of Somerset Asset Management LLP in relation to assisting Goenka.

  3. Information on fines for lack of voice recording compliance - March 2022

    FOI Release Date of Release: 14/03/2022
    The FCA provides information on fines for lack of voice recording compliance.

  4. Building societies: Facing the challenges and opportunities head on

    Speeches Published: 19/05/2016 Last modified: 19/05/2016
    Speech by Jonathan Davidson, Director of Supervision – retail and authorisations at the FCA, delivered at the Building Societies Association Annual Conference on 19 May 2016, in Gateshead.

  5. Information relating to Notices of ceasing to perform controlled functions - April 2020

    FOI Release Date of Release: 03/04/2020
    The FCA provides information relating to Notices of ceasing to perform controlled functions.

  6. FCA prohibits IFA and mortgage adviser for fitness and propriety failings

    News stories Published: 24/09/2021 Last modified: 24/09/2021
    The FCA has prohibited financial advisor Anthony George from performing any regulated activity in the financial services industry.

  7. Speech: Darwin and an evolution in price discrimination

    Insight Published: 17/03/2016 Last modified: 17/02/2017
    Published: 17 March 2016. Thank you very much for coming to this lecture. ... For, in this case too, mark-ups must vary. Cross-subsidy is often used to refer to the distributional consequences of price discrimination.

  8. Underlying data for Montly PPI complaints before and during campaign - May 2021

    FOI Release Date of Release: 10/05/2021
    The FCA provides the data for the numbers of PPI complaints from Jan 2017 to Aug 2019.

  9. FCA bans Magnus Michael Peterson from the financial services industry

    Press Releases Published: 26/10/2015 Last modified: 21/11/2016
    The Final Notice for Mr Peterson. ... To support this it has three operational objectives: to secure an appropriate degree of protection for consumers; to protect and enhance the integrity of the UK financial system; and to promote

  10. Financial crime controls at challenger banks

    Firms Multi-firm reviews Published: 22/04/2022 Last modified: 22/04/2022
    Ensuring the firms we regulate are effective in preventing financial crime, such as money laundering and sanctions evasion, remains a key priority. This includes testing the financial crime controls of new business models as they enter the UK
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