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Showing 3811 to 3820 of 7112 search results for final notice.

3811. FCA fines and imposes a restriction on Canara Bank for anti-money laundering systems failings

      Press Releases Published: 06/06/2018 Last modified: 06/06/2018
      The Financial Conduct Authority (FCA) has fined Canara Bank £896,100 and has imposed a restriction, preventing it from accepting deposits from new customers for 147 days.

3812. The FCA fines, publicly censures and orders Jersey resident to pay restitution for insider dealing and improper disclosure

      Press Releases Published: 15/07/2016 Last modified: 15/07/2016
      The final notice for Gavin Breeze..

3813. FCA fines Stonebridge International Insurance Limited £8.4m in relation to sales of insurance policies

      Press Releases Published: 07/08/2014 Last modified: 07/08/2014
      Final Notice - Stonebridge International Insurance Limited.

3814. FCA bans and fines Paul Reynolds £290,344 for misleading and unsuitable advice

      Press Releases Published: 20/05/2015 Last modified: 22/05/2015
      On 13 January 2014, Mr Reynolds referred the FCA’s Decision Notice to the Upper Tribunal. ... On 30 April 2015, Mr Reynolds withdrew his reference. The Final Notice.

3815. AIM Investment Company fined for failing to disclose inside information as soon as possible

      Press Releases Published: 14/12/2017 Last modified: 14/12/2017
      The Financial Conduct Authority (FCA) has today fined Tejoori Limited (Tejoori) £70,000 for failing to inform the market of inside information as required by Article 17(1) of the Market Abuse Regulation (MAR).  This is the first fine the FCA has

3816. Pension transfers or switches with a view to investing pension monies into unregulated products through SIPPs - Further alert

      News stories Published: 28/04/2014 Last modified: 28/04/2014
      We have also recently published two final notices where we took enforcement action against two partners in a firm, Andrew Rees and Timothy Hughes, who failed to comply with our rules ... In the cases we have seen, customers’ existing arrangements were

3817. CP15/34: Regulatory fees and levies: policy proposals for 2016/17

      Consultation papers Published: 05/11/2015 Last modified: 05/11/2015
      Depending on the proposed policy change, we would expect to provide feedback on the responses received to this consultation in the following February or March Handbook Notice. ... We will consider your feedback and publish a Policy Statement with final

3818. FCA fines Citigroup’s international broker-dealer £12.6m for failures relating to the detection of market abuse

      Press Releases Published: 19/08/2022 Last modified: 19/08/2022
      The FCA has fined Citigroup Global Markets Limited (Citigroup Global Markets) £12,553,800 for failing to properly implement Market Abuse Regulation (MAR) requirements, relating to the detection of market abuse.

3819. FCA fines financial advice firm and bans Arthur Cobill and William Hofstetter for British Steel Pension Scheme advice and oversight failings

      Press Releases Published: 11/03/2024 Last modified: 11/03/2024
      The FCA has fined Inspirational Financial Management Ltd (IFM), which is in administration, £897,840.

3820. CP24/1: Financial Services Compensation Scheme - Management Expenses Levy Limit 2024/25

      Consultation papers Published: 11/01/2024 Last modified: 09/02/2024
      In a joint consultation with the Prudential Regulation Authority (PRA), we are consulting on the management expenses levy limit (MELL) for the Financial Services Compensation Scheme (FSCS).