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Showing 3751 to 3760 of 7112 search results for final notice.

3751. Former CFO and Finance Director guilty of misleading investors in case brought by the FCA, former CEO found not guilty

      Press Releases Published: 11/02/2022 Last modified: 11/02/2022
      Timothy Coleman, Redcentric Plc's former Chief Financial Officer, has been found guilty of 4 charges concerning the making of false and misleading statements to the market.

3752. Former UBS trader banned for failings related to US$2.3 billion unauthorised trading losses by Kweku Adoboli

      Press Releases Published: 01/05/2014 Last modified: 24/11/2021
      The Financial Conduct Authority (FCA) has banned John Christopher Hughes from performing any function in relation to any regulated activity in the financial services industry.

3753. FCA bans and fines former Burlington director for dishonest involvement in the sale of Unregulated Collective Investment Schemes to retail customers

      Press Releases Published: 29/08/2014 Last modified: 29/08/2014
      FCA bans and fines former Burlington director for dishonest involvement in the sale of Unregulated Collective Investment Schemes to retail customers. Press Releases First published:. 29/08/2014. Last updated: 29/08/2014. Share page. FCA bans and

3754. FCA response to the independent panels’ annual reports

      Corporate documents Published: 01/02/2024 Last modified: 07/02/2024
      In line with its statutory requirement, the FCA responds to key representations made by the Panels in their respective Annual Reports.

3755. FCA fines SEI Investments (Europe) Limited £900,200 for client money breaches

      Press Releases Published: 26/11/2013 Last modified: 29/11/2016
      Final Notice SEI Investments (Europe) Limited. ... The consultation closed on 11 October 2013, and we expect to publish final rules in the first half of 2014.

3756. How implementing the Mortgage Market Review will shape the new market

      Speeches Published: 01/10/2013 Last modified: 03/10/2013
      Speech by Linda Woodall, Director of Mortgages and Consumer Lending, the FCA, at the Financial Services Expo, London. This is the text of the speech as drafted, which may differ from the delivered version.

3757. Updated: Upper Tribunal releases its judgment on action against Timothy Roberts and Andrew Wilkins

      Press Releases Published: 18/09/2015 Last modified: 09/12/2016
      The decision follows the Final Notices issued to Catalyst Investment Group Limited and Alison Moran, Catalyst’s compliance officer, in September 2013. ... Final notices forCatalystandAlison Moran.

3758. Financial services regulation and enforcement: recent developments and emerging issues

      Speeches Published: 09/10/2013 Last modified: 10/10/2013
      Speech by Tracey McDermott, Director of Enforcement and Financial Crime at the NERA Economic Consulting seminar, London. This is the text of the speech as drafted, which may differ from the delivered version.

3759. Anti-competitive conduct in the asset management sector: FCA Decisions under the Competition Act 1998

      Decisions and notices Notices and decisions Published: 22/05/2019 Last modified: 22/05/2019
      On 21 February 2019, the FCA decided that 3 asset management firms, Hargreave Hale Ltd, Newton Investment Management Limited and River and Mercantile Asset Management LLP (RAMAM), breached competition law. They shared strategic information during a

3760. PS23/13: Introducing a gateway for firms who approve financial promotions

      Policy statements Published: 11/09/2023 Last modified: 16/11/2023
      The FCA's final policy position and response to the feedback received to its consultation on introducing a gateway for firms who approve financial promotions.