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Showing 3661 to 3670 of 7106 search results for final notice.

  1. FCA bans Magnus Michael Peterson from the financial services industry

    Press Releases Published: 26/10/2015 Last modified: 21/11/2016
    The Final Notice for Mr Peterson.

  2. Information on fines for lack of voice recording compliance - March 2022

    FOI Release Date of Release: 14/03/2022
    The FCA provides information on fines for lack of voice recording compliance.

  3. FCA fines Sir Christopher Gent for disclosing inside information

    Press Releases Published: 05/08/2022 Last modified: 05/08/2022
    The Financial Conduct Authority (FCA) has fined Sir Christopher Gent, former non-executive Chairman of ConvaTec Group Plc, £80,000 for unlawfully disclosing inside information.

  4. FCA fines Reckitt Benckiser £539,800 for listing rule failures

    Press Releases Published: 20/01/2015 Last modified: 30/08/2015
    The Final Notice for Reckitt Benckiser Group.

  5. FCA fines former investment banker for sharing confidential information over WhatsApp

    Press Releases Published: 30/03/2017 Last modified: 30/03/2017
    The Financial Conduct Authority (FCA) has today fined Christopher Niehaus, a former investment banker, £37,198 for sharing client confidential information over WhatsApp.  The FCA found that Mr Niehaus failed to act with due skill, care and

  6. Information on investigations opened under the Senior Managers' Regime - June 2022

    FOI Release Date of Release: 22/06/2022
    The FCA provides information on investigations opened under the Senior Managers' Regime.

  7. FCA bans and fines financial adviser £68,300 for lacking honesty and integrity

    Press Releases Published: 15/04/2021 Last modified: 15/04/2021
    The FCA has banned Simon Varley from working in financial services and fined him £68,300 for knowingly performing a controlled function without approval.

  8. Ex-Mortgage Advisor sentenced to two years after FCA action

    Press Releases Published: 16/07/2013 Last modified: 17/09/2013
    On Friday 12 July, at Maidstone Crown Court, following criminal action brought by the Financial Conduct Authority (FCA), Michael Joseph James Lewis was sentenced to two years in prison on two counts of making/supplying documentation for use in fraud

  9. Critical issues in financial regulation: The FCA's perspective

    Speeches Published: 26/04/2022 Last modified: 28/04/2022
    Speech by our CEO, Nikhil Rathi, delivered at City Week 2022.

  10. FCA imposes recruitment ban on the Financial Group for failing to control its Appointed Representatives

    Press Releases Published: 23/07/2014 Last modified: 23/07/2014
    Charles Palmer, the Group’s CEO, was the subject of a previous Final Notice in 2010, relating to earlier failings at Financial and Investments. ... The Final Notice for Financial Limited andAn appointed representative (AR) is a person or firm who
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