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

Search results

Showing 3611 to 3620 of 7106 search results for final notice.

  1. FCA bans and fines two individuals for pension advice failings

    Press Releases Published: 20/03/2015 Last modified: 24/03/2020
    Lloyd Pope and Peter Legerton, former directors of advisory firm TailorMade Independent Ltd (TMI) (firm now dissolved), have been banned from senior positions in financial services by the Financial Conduct Authority (FCA).

  2. Temporary permissions removed if firms failing to apply for authorisation

    News stories Published: 21/12/2022 Last modified: 21/12/2022
    Lyonnaise de Banque has had its temporary permissions revoked, meaning that the firm can no longer conduct regulated activity in the UK.

  3. Final notice summary: Wage Payment and Payday Loans Limited, and Andrew Barry Hart [pdf]

    Final notices Published: 13/10/2016

  4. Moorhouse fined for failures in relation to its telephone sales

    Press Releases Published: 23/04/2015 Last modified: 23/04/2015
    The Final Notice for Moorhouse Group Limited.

  5. Reports about sexual and non-financial misconduct made to the FCA

    FOI Release Date of Release: 07/09/0201
    The FCA responds on the numbers of reports about sexual and non-financial misconduct made to the FCA

  6. FCA decides to impose conditions on takeover of Link Group

    Press Releases Published: 12/09/2022 Last modified: 12/09/2022
    Following announcements made on Monday 12 September by Link Group to the Australian Securities Exchange and Dye and Durham to the Toronto Stock Exchange, the FCA is providing a short update on its involvement in the proposed takeover of the Link

  7. Two financial advisers banned and fined after investors lose out

    Press Releases Published: 18/10/2013 Last modified: 18/10/2013
    Two financial advisers banned and fined after investors lose out. Press Releases First published:. 18/10/2013. Last updated: 18/10/2013. Two financial advisers banned and fined after investors lose out. Two Surrey-based investments advisers have

  8. FCA fines US based oil trader US $903K for market manipulation

    Press Releases Published: 22/07/2013 Last modified: 23/11/2021
    The Financial Conduct Authority (FCA) has fined US based High Frequency Trader, Michael Coscia, US $903,176 (£597,993) for deliberate manipulation of commodities markets.

  9. FCA fines ADM Investor Services International Limited £6,470,600 for serious financial crime control failings

    Press Releases Published: 02/10/2023 Last modified: 02/10/2023
    The broker has been fined for inadequate anti-money laundering (AML) systems and controls.

  10. Tribunal upholds FCA fine on firm for misselling complex investments

    Press Releases Published: 27/11/2013 Last modified: 17/12/2013
    It remains open to Westwood to appeal the judgment. Update 17/12/2013: Westwood will not appeal the judgment, and the FCA has issued a Final Noticeto Westwood. ... Westwood’s Decision Notice was issued on 31 May 2011 and Westwood referred the matter to
Related searches
Related topics