Search results

Showing 1761 to 1770 of 4706 search results for final notice refers.

1761. Tribunal upholds FCA ban and significant fine on insurance broker

      Press Releases Published: 28/06/2013 Last modified: 17/09/2013
      The Upper Tribunal (Tribunal) has upheld the decision of the Financial Conduct Authority (FCA) to ban Andrew Jeffery, director of Jeffery Flanders (Consulting) Limited, and fine him £150,000 – one of the largest fines imposed on a broker for

1762. FCA fines The Carphone Warehouse over £29m for insurance mis-selling

      Press Releases Published: 13/03/2019 Last modified: 20/12/2019
      The Financial Conduct Authority (FCA) has fined The Carphone Warehouse £29,107,600 for failings that led to the mis-selling of ’Geek Squad’, a mobile phone insurance and technical support product. This follows an FCA investigation which stemmed

1763. 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

1764. FCA and PRA publish final changes to enhance enforcement decision-making processes

      Press Releases Published: 01/02/2017 Last modified: 04/11/2019
      The Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) have today published final changes in a Policy Statement (PS) aimed at strengthening the transparency and effectiveness of their enforcement decision-making processes

1765. Cryptoasset registration: information for applicants

      Published: 26/10/2023 Last modified: 07/02/2024
      The FCA's requirements and expectations of cryptoasset businesses for AML/CTF regime registration.

1766. 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.

1767. Information on enforcement action within asset management in 2019 - May 2020

      FOI Release Date of Release: 14/05/2020
      The FCA provides information on enforcement action within asset management in 2019.

1768. Consumer investments data review April - September 2021

      Data Published: 03/03/2022 Last modified: 13/06/2023
      A summary of the FCA's work to tackle consumer harm in the investment market, between 1 April 2021 and 30 September 2021.

1769. 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.

1770. 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.