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Showing 1201 to 1206 of 1206 search results for asset management study.

  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. FSA fines Société Générale £1.575 million for failures in transaction reporting

    Press Releases Published: 25/08/2010 Last modified: 22/07/2013
    The Financial Services Authority (FSA) has fined the London branch of Société Générale (SocGen) £1,575,000 for failing to provide accurate transaction reports to the FSA. The fine reflects the seriousness of SocGen’s failure to submit

  3. PS20/17: Proposals to enhance climate-related disclosures by listed issuers and clarification of existing disclosure obligations

    Policy statements Published: 21/12/2020 Last modified: 21/12/2020
    We summarise the feedback to our consultation proposals in CP20/3 and confirm our final policy position.

  4. FCA bans Angela Burns from acting as a non-executive director and fines her for her failure to declare conflicts of interest

    Press Releases Published: 14/12/2018 Last modified: 14/12/2018
    The Financial Conduct authority (FCA) has banned Angela Burns from acting as a non-executive director (NED) and fined her £20,000 for failing to act with integrity at two mutual societies.

  5. FCA fines five banks £1.1 billion for FX failings and announces industry-wide remediation programme

    Press Releases Published: 12/11/2014 Last modified: 04/11/2019
    The Financial Conduct Authority (FCA) has imposed fines totalling £1,114,918,000 ($1.7 billion) on five banks for failing to control business practices in their G10 spot foreign exchange (FX) trading operations: Citibank N.A. £225,575,000 ($358

  6. From Diocletian to pay day loans: what can we learn from successful and unsuccessful price regulation?

    Speeches Published: 27/02/2018 Last modified: 27/02/2018
    Speech by Mary Starks, Director of Competition and Chief Economist at the FCA, delivered at the Social Market Foundation (SMF) lecture, London.