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Showing 3601 to 3610 of 7106 search results for final notice.

  1. FCA announces decision on synthetic US dollar LIBOR

    News stories Published: 03/04/2023 Last modified: 03/04/2023
    In November 2022, we consulted on proposals to require the continued publication of 1-, 3- and 6-month synthetic US dollar LIBOR after 30 June 2023 when the US dollar LIBOR panel is due to cease. 

  2. FCA contacting 16,000 customers of debt management firm, PDHL

    Press Releases Published: 10/03/2016 Last modified: 11/03/2016
    Final Notice: PDHL Limited. ... The FCA gave PDHL a Decision Notice dated 16 December 2015 confirming that it had decided to refuse PDHL’s authorisation application.

  3. FCA bans and fines James Lewis £120,300 for putting investors at risk

    Press Releases Published: 07/05/2024 Last modified: 07/05/2024
    James Lewis, the former CEO of Shard Capital Partners, has been fined £120,300 and banned by the FCA.

  4. Benchmarks Regulation: our powers, policy and decision-making

    Markets Published: 18/11/2020 Last modified: 02/04/2024
    Our policy approach to exercising our powers over critical benchmarks, and our decisions to use these powers to help manage an orderly wind-down of LIBOR.

  5. FCA fines and bans former RBS trader, Neil Danziger

    Press Releases Published: 08/01/2018 Last modified: 08/01/2018
    The Financial Conduct Authority (FCA) has imposed a financial penalty of £250,000 on former Royal Bank of Scotland (RBS) interest rate derivatives trader, Neil Danziger, and prohibited him from performing any function in relation to any regulated

  6. FCA bans debt management couple for misappropriating client money

    Press Releases Published: 23/10/2017 Last modified: 23/10/2017
    The Financial Conduct Authority (FCA) has today banned Adrian and Christine Whitehurst, former directors of debt management firm First Step Finance Limited (now dissolved), for dishonestly misappropriating client money. Over 4000 customers lost a

  7. FCA fines Sesame Ltd for ‘pay-to-play’ arrangements

    Press Releases Published: 30/10/2014 Last modified: 30/10/2014
    In the Final Notice, the FCA finds that Sesame fell short of Principle 8 by failing to properly manage conflicts of interest. ... Previous final notices for Sesame:. Final guidance: Supervising retail investment advice: inducements and conflicts of

  8. Final Notice 2018: R J Funston Insurance Services (Heather Tania Funston trading as) [pdf]

    Final notices Published: 03/07/2018
    This final notice refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the General Insurance and Protection sector and investment advisory sector. We imposed a

  9. FCA confirms approach to European firms temporarily operating in the UK

    Press Releases Published: 18/01/2022 Last modified: 21/01/2022
    European firms wishing to remain in the temporary permissions regime (TPR) need to meet our standards to continue operating in the UK.

  10. Final Notice 2023: Richard John Hamilton (Trading as Hamilton Motors and Richard H Hamilton Car Sales) [pdf]

    Final notices Published: 19/05/2023
    This final notice refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the consumer credit sector. We imposed a cancellation
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