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Showing 1771 to 1780 of 4706 search results for final notice refers.
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FCA bans director from working in financial services after violent criminal conviction
We have banned Mr Ashkan Zahedian from working in financial services following his conviction for serious, violent offences -
FCA fines HSBC £6.2 million over treatment of customers in financial difficulty
We have fined HSBC UK Bank plc for failures in its treatment of customers who were in arrears or experiencing financial difficulty. -
Information on enforcement investigations opened against individuals (SMR) - May 2022
The FCA provides data on enforcement investigations opened against individuals (SMR). -
Wellington Court Financial Services Ltd has temporary permissions removed
Wellington Court Financial Services Limited has had its temporary permissions revoked. -
PRA and FCA conclude investigations into senior managers in relation to the 2008 failure of HBOS plc
PRA and FCA joint investigations into certain former senior managers at HBOS plc have now concluded with a decision by each of the Authorities’ independent decision-makers to take no further action. -
FCA bans three individuals from working in the financial services industry for non-financial misconduct
The Financial Conduct Authority (FCA) has prohibited Russell David Jameson, Mark Horsey, and Frank Cochran from working in the financial services industry following findings that they are not fit and proper. Each of them had been convicted of -
Final Notice 2021: Lloyds Bank General Insurance Limited, St Andrew’s Insurance Plc, Lloyds Bank Insurance Services Limited and Halifax General Insurance Services Limited [pdf]
This Final Notice (Lloyds Bank General Insurance Limited, St Andrew’s Insurance Plc, Lloyds Bank Insurance Services Limited and Halifax General Insurance Services Limited) refers to breaches of PRIN 3 and PRIN 7 related to communications with -
The FCA censures Catalyst Investment Group Limited for misleading investors and fines former compliance officer
he Financial Conduct Authority (FCA) has censured Catalyst Investment Group Limited (Catalyst) for recklessly misleading investors when promoting bonds offered by ARM Asset Backed Securities SA (ARM) between November 2009 and May 2010. -
FSA publishes its Internal Audit Report on: review of the extent of awareness within the FSA of inappropriate LIBOR submissions
The Financial Services Authority (FSA) has published its Internal Audit Report (the Report) on the London Interbank Offered Rate (LIBOR). -
Upper Tribunal publishes decision on Linear Investments Limited in relation to penalty imposed by FCA
The Upper Tribunal has published its decision on the reference made by Linear Investments Limited (Linear) in relation to the penalty imposed by the Financial Conduct Authority (FCA).