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Showing 3141 to 3150 of 3286 search results for This final notice refers.

  1. PS22/16: Margin requirements for non-centrally cleared derivatives: Amendments to BTS 2016/2251

    Policy statements Published: 15/12/2022 Last modified: 15/12/2022
    This PRA and FCA policy statement provides feedback to responses to FCA CP22/13. It also contains the PRA’s and FCA’s final policy,

  2. FCA fines Prudential £23,875,000 for failures relating to non-advised annuities sales

    Press Releases Published: 30/09/2019 Last modified: 30/09/2019
    The Financial Conduct Authority (FCA) has fined The Prudential Assurance Company Limited (Prudential) £23,875,000 for failures related to non-advised sales of annuities. 

  3. FCA fines PPC for misleading consumers and banks in first CMC case closed by the regulator

    Press Releases Published: 17/12/2019 Last modified: 17/12/2019
    The Financial Conduct Authority (FCA) has fined Professional Personal Claims Limited (PPC) £70,000 for misleading consumers through its websites and printed materials.

  4. FCA fines SEI Investments (Europe) Limited £900,200 for client money breaches

    Press Releases Published: 26/11/2013 Last modified: 29/11/2016
    Firms that hold client assets should ensure they continue to strengthen their management, oversight and controls in this area. ... Final Notice SEI Investments (Europe) Limited.

  5. Updated: Upper Tribunal releases its judgment on action against Timothy Roberts and Andrew Wilkins

    Press Releases Published: 18/09/2015 Last modified: 09/12/2016
    The decision follows the Final Notices issued to Catalyst Investment Group Limited and Alison Moran, Catalyst’s compliance officer, in September 2013. ... Final notices forCatalystandAlison Moran.

  6. FCA bans and fines trader £662,700 for manipulating gilt price during QE

    Press Releases Published: 20/03/2014 Last modified: 01/04/2014
    Without this discount, the FCA would have imposed a fine of £946,800. ... The Final Notice - for a more detailed description of Stevenson's trading, and price movements of the affected bond, please see section four.

  7. Former CFO and Finance Director guilty of misleading investors in case brought by the FCA, former CEO found not guilty

    Press Releases Published: 11/02/2022 Last modified: 11/02/2022
    Timothy Coleman, Redcentric Plc's former Chief Financial Officer, has been found guilty of 4 charges concerning the making of false and misleading statements to the market.

  8. FCA fines Julius Baer International Limited £18m and publishes decision notices for three individuals

    Press Releases Published: 30/11/2022 Last modified: 28/09/2023
    We have fined Julius Baer International Limited £18,022,500 for failing to conduct its business with integrity, failing to take reasonable care to organise and control its affairs and failing to be open and cooperative with the FCA.

  9. FCA fines Barclays £72 million for poor handling of financial crime risks

    Press Releases Published: 26/11/2015 Last modified: 26/11/2015
    This required Barclays to adhere to a higher level of due skill, care and diligence but Barclays failed to do this. ... The Final Notice for Barclays Bank.

  10. Rio Tinto plc fined £27m for breaching Disclosure and Transparency Rules

    Press Releases Published: 17/10/2017 Last modified: 17/10/2017
    The Financial Conduct Authority (FCA) has fined Rio Tinto plc (Rio Tinto) £27,385,400 for breaching Disclosure and Transparency Rules (Disclosure Rules). 
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