Filter results
Filter by document type
Filter by year
Sort by:

Search results

Showing 3591 to 3600 of 7106 search results for final notice.

  1. FCA fines RBS and NatWest for failures in mortgage advice process

    Press Releases Published: 27/08/2014 Last modified: 12/09/2014
    The final notice for the firms.

  2. Final Notice 2020: Lloyds Bank plc, Bank of Scotland plc, and The Mortgage Business plc [pdf]

    Final notices Published: 11/06/2020
    This Final Notice (Lloyds Bank plc, Bank of Scotland plc, and The Mortgage Business plc) refers to breaches of PRIN 3 and PRIN 6 related to the unfair treatment of customers in the mortgages sector. We imposed a financial penalty.

  3. Darren Newton banned from working in the financial services sector

    Press Releases Published: 20/12/2018 Last modified: 20/12/2018
    The Financial Conduct Authority (FCA) has today banned Darren Lee Newton from working in the financial services sector. The FCA discovered Mr Newton used customers’ money for the purchase of the debt management firm, First Step Finance Limited.

  4. FS21/11: Article 23D BMR decision for 6 sterling and yen LIBOR versions

    Feedback statements Published: 24/06/2021 Last modified: 16/11/2021
    Our feedback on responses to our proposal to use our Article 23D(2) powers introduced through amendments to the Benchmarks Regulation (BMR)

  5. Final Notice 2022: The TJM Partnership Limited (Formerly known as Neovision Global Capital Limited) (In Liquidation) [pdf]

    Final notices Published: 15/07/2022
    This Final Notice refers to breaches of PRIN 2 and PRIN 3 related to the risk of financial crime in the trading firms sector. We imposed a financial penalty.

  6. HomeServe fined £30 million for widespread failings

    Press Releases Published: 13/02/2014 Last modified: 13/02/2014
    The Final Notice for HomeServe Membership Limited.

  7. Information on prosecutions for insider dealing - August 2021

    FOI Release Date of Release: 04/08/2021
    The FCA provides information on the prosecutions for insider dealing from suspicious transaction and order reports (STORs) from 2017 to 2020.

  8. LIBOR transition and contractual fallbacks

    Speeches Published: 28/01/2019 Last modified: 28/01/2019
    Speech by Edwin Schooling Latter, Director of Markets and Wholesale Policy at the FCA, delivered at the International Swaps and Derivatives Association (ISDA) Annual Legal Forum.

  9. Kenneth Carver fined £35,212 for insider dealing

    Press Releases Published: 30/03/2015 Last modified: 30/11/2016
    Kenneth Carver fined £35,212 for insider dealing. Press Releases First published:. 30/03/2015. Last updated: 30/11/2016. Share page. Kenneth Carver fined £35,212 for insider dealing. The Financial Conduct Authority (FCA) has today fined Kenneth

  10. AXA fined and reviews investment sales for advice failings

    Press Releases Published: 13/09/2013 Last modified: 25/11/2021
    The Financial Conduct Authority (FCA) has fined AXA Wealth Services Ltd (AXA) £1,802,200 for failing to ensure it gave suitable investment advice to its customers.
Related searches
Related topics