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Showing 2331 to 2340 of 2369 search results for This final notice refers to a failure.

2331. FCA publishes Final Notice for Keydata’s former finance director, Craig McNeil, fining him £350,000 and prohibiting him from performing any significant influence function

      Press Releases Published: 22/09/2015 Last modified: 14/11/2016
      FCA publishes Final Notice for Keydata’s former finance director, Craig McNeil, fining him £350,000 and prohibiting him from performing any significant influence function. ... The Final Notice for Craig McNeil.

2332. FCA bans three individuals from working in the financial services industry for non-financial misconduct

      Press Releases Published: 05/11/2020 Last modified: 05/11/2020
      The Financial Conduct Authority (FCA) has prohibited Russell David Jameson, Mark Horsey, and Frank Cochran from working in the financial services industry following findings that they are not fit and proper.  Each of them had been convicted of

2333. FCA bans and fines Robert Shaw, of TailorMade Independent Ltd, for SIPP advisory failings

      Press Releases Published: 13/08/2015 Last modified: 24/03/2020
      Robert Shaw, former director of advisory firm TailorMade Independent Ltd (TMI) (firm now dissolved), has been banned from senior positions in financial services and fined £41,400 by the Financial Conduct Authority (FCA).

2334. Deutsche Bank fined £227 million by Financial Conduct Authority for LIBOR and EURIBOR failings and for misleading the regulator

      Press Releases Published: 23/04/2015 Last modified: 24/04/2015
      This case shows how seriously we view a failure to cooperate with our investigations and our determination to take action against firms where we see wrongdoing.”. ... The Final Notice for Deutsche Bank.

2335. FCA fines Deutsche Bank £163 million for serious anti-money laundering controls failings

      Press Releases Published: 31/01/2017 Last modified: 31/01/2017
      The Financial Conduct Authority (FCA) has today fined Deutsche Bank AG (Deutsche Bank) £163,076,224 for failing to maintain an adequate anti-money laundering (AML) control framework during the period between 1 January 2012 and 31 December

2336. Consumer Investments: Strategy and Feedback Statement

      Corporate documents Published: 14/09/2021 Last modified: 15/06/2023
      The FCA sets out its view of consumer harm in this market and its 3-year strategy to address this. 

2337. FCA fines Yorkshire Building Society £4,135,600 for failings in dealing with customers in mortgage arrears

      Press Releases Published: 29/10/2014 Last modified: 29/10/2014
      These failures led to significant delays in determining the most appropriate payment solutions. ... The final notice for YBS.

2338. FCA fines insurance broker JLT Specialty Limited £7.8m for financial crime control failings

      Press Releases Published: 22/06/2022 Last modified: 22/06/2022
      We have fined JLT Specialty Limited (JLTSL) £7,881,700 for financial crime control failings.

2339. Former B&B Group Finance Director fined £30,000 for failings ahead of 2008 rights issue

      Press Releases Published: 12/12/2013 Last modified: 07/02/2022
      Christopher Willford fined £30,000 for failing to provide the board with up-to-date information about B&B’s financial position, including profits, mortgage arrears and re-possessions, ahead of its 2008 rights issue.

2340. Aberdeen Asset Managers and Aberdeen Fund Management fined £7.2 million for failing to protect client money

      Press Releases Published: 03/09/2013 Last modified: 17/09/2013
      The Financial Conduct Authority (FCA) has fined Aberdeen Asset Managers Limited and Aberdeen Fund Management Limited (Aberdeen) £7,192,500 for failing to identify, and therefore properly protect, client money placed in Money Market Deposits (MMDs)