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Showing 3641 to 3650 of 7221 search results for final notice.

  1. Adviser Mark Abley pays £106k for poor pension transfer advice

    Press Releases Published: 26/06/2023 Last modified: 26/06/2023
    The FCA has banned Mark Abley of County Capital Wealth Management Ltd (in liquidation) (CCWM) from providing any advice on pension transfers.

  2. FCA issues statement of objections to 3 money transfer firms

    Press Releases Published: 25/01/2023 Last modified: 25/01/2023
    In a statement of objections, the Financial Conduct Authority (FCA) alleges that Dollar East (International Travel & Money Transfer) Ltd, Hafiz Bros Travel & Money Transfer Limited, and LCC Trans-Sending Limited (including its parent company Small

  3. 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.

  4. 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

  5. CP20/4: Quarterly Consultation Paper No 27

    Consultation papers Published: 06/03/2020 Last modified: 03/07/2020
    Once a quarter, we consult on proposed miscellaneous amendments to our Handbook. These tend to be minor changes but we still want to get your feedback on our proposals.

  6. 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).

  7. 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.

  8. Tribunal directs Financial Conduct Authority to ban former insurance broker

    Press Releases Published: 16/04/2015 Last modified: 16/04/2015
    On 25 July 2012 the FCA (then the FSA) issued a Decision Notice to Mr Allen stating that it intended to prohibit him because he was not a fit and proper ... The Final Notice for Stephen Allen.

  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. Adviser banned and fined for fabricating RDR qualification certificates

    Press Releases Published: 30/01/2014 Last modified: 30/01/2014
    Adviser banned and fined for fabricating RDR qualification certificates. Press Releases First published:. 30/01/2014. Last updated: 30/01/2014. Share page. Adviser banned and fined for fabricating RDR qualification certificates. Former retail
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