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Showing 4381 to 4390 of 4723 search results for final notice refers.

  1. FCA prohibits six individuals for their part in unauthorised collective investment scheme

    Press Releases Published: 01/11/2016 Last modified: 01/11/2016
    In a case brought by the Financial Conduct Authority (FCA) Scott Crawley, Daniel Forsyth, Adam Hawkins, Ross Peters, Aaron Petrou and Dale Walker have today been prohibited from performing any function in relation to any regulated activity for their

  2. CP22/1: Financial Services Compensation Scheme – Management Expenses Levy Limit 2022/23

    Consultation papers Published: 12/01/2022 Last modified: 25/03/2022
    In a joint consultation with the PRA, we are consulting on the management expenses levy limit for the Financial Services Compensation Scheme.

  3. DP16/2: CASS 7A and the Special Administration Regime Review

    Discussion papers Published: 09/03/2016 Last modified: 09/11/2016
    from our final proposals in PS14/9: Review of the client assets regime for investment business, pending the Treasury’s response to the Bloxham Final Report. ... Throughout this discussion paper we refer to the Treasury’s response to the Bloxham Final

  4. FCA bans and fines James Lewis £120,300 for putting investors at risk

    Press Releases Published: 07/05/2024 Last modified: 07/05/2024
    James Lewis, the former CEO of Shard Capital Partners, has been fined £120,300 and banned by the FCA.

  5. FCA publishes Decision Notice against former CEO of Sonali Bank (UK) Ltd for AML failings

    Press Releases Published: 04/12/2018 Last modified: 04/12/2018
    The Financial Conduct Authority (FCA) has today published a Decision Notice in respect of Mohammad Ataur Rahman Prodhan, the former Chief Executive Officer of Sonali Bank (UK) Limited (SBUK), fining him £76,400.

  6. AXA fined and reviews investment sales for advice failings

    Press Releases Published: 13/09/2013 Last modified: 25/11/2021
    The Financial Conduct Authority (FCA) has fined AXA Wealth Services Ltd (AXA) £1,802,200 for failing to ensure it gave suitable investment advice to its customers.

  7. FCA fines and bans former RBS trader, Neil Danziger

    Press Releases Published: 08/01/2018 Last modified: 08/01/2018
    The Financial Conduct Authority (FCA) has imposed a financial penalty of £250,000 on former Royal Bank of Scotland (RBS) interest rate derivatives trader, Neil Danziger, and prohibited him from performing any function in relation to any regulated

  8. Cryptoasset AML / CTF regime: feedback on good and poor quality applications

    Tasks for firms Published: 22/03/2023 Last modified: 03/07/2024
    Feedback on good and poor quality applications made to the FCA under money laundering regulations.

  9. FCA sets expectations ahead of incoming crypto marketing rules

    Press Releases Published: 07/09/2023 Last modified: 07/09/2023
    Tough new rules designed to make the marketing of cryptoasset products clearer and more accurate, and that ban incentives like ‘refer a friend’ bonuses, will come into force on 8 October.

  10. Consumer Investments: Strategy and Feedback Statement

    Corporate documents Published: 14/09/2021 Last modified: 15/06/2023
    The FCA sets out its view of consumer harm in this market and its 3-year strategy to address this. 
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