Filter results
Filter by document type
Filter by year
Sort by:

Search results

Showing 4421 to 4430 of 4723 search results for final notice refers.

  1. Aggregate complaints data: 2016 H1

    Data and research Published: 06/10/2016 Last modified: 23/05/2022
    The FCA collects complaints data from firms to assess how well they are treating their customers and how firms’ performance changes over time.

  2. Tribunal directs Financial Conduct Authority to ban former insurance broker

    Press Releases Published: 16/04/2015 Last modified: 16/04/2015
    On 25 July 2012 the FCA (then the FSA) issued a Decision Notice to Mr Allen stating that it intended to prohibit him because he was not a fit and proper ... The Final Notice for Stephen Allen.

  3. Second Supervisory Notice 2019: London Capital & Finance PLC [pdf]

    Supervisory notices Published: 28/02/2019 Last modified: 28/02/2019
    This second supervisory notice (London Capital & Finance PLC) refers to communications in relation to the firm's 'Fixed Rate ISA or Bond' which the FCA considers to be misleading, not fair, not clear and in breach of COBS 4.2.1R. We imposed

  4. FCA confirms how it will use new power to publicise warning notices

    Press Releases Published: 15/10/2013 Last modified: 15/10/2013
    The Financial Conduct Authority (FCA) today confirmed how it will use its new power to publicise warning notices by publishing information about proposed enforcement action. ... Before making its final decision, it will consult the person under

  5. First Supervisory Notice 2019: Organic Investment Management Limited [pdf]

    Supervisory notices Published: 16/01/2019
    This first supervisory notice (Organic Investment Management Limited) refers to a failure to satisfy the appropriate resources threshold condition (COND) and breaches of SYSC. We imposed requirements on the firm.

  6. Adviser banned and fined for fabricating RDR qualification certificates

    Press Releases Published: 30/01/2014 Last modified: 30/01/2014
    Adviser banned and fined for fabricating RDR qualification certificates. Press Releases First published:. 30/01/2014. Last updated: 30/01/2014. Share page. Adviser banned and fined for fabricating RDR qualification certificates. Former retail

  7. Two financial advisers banned and fined after investors lose out

    Press Releases Published: 18/10/2013 Last modified: 18/10/2013
    Two financial advisers banned and fined after investors lose out. Press Releases First published:. 18/10/2013. Last updated: 18/10/2013. Two financial advisers banned and fined after investors lose out. Two Surrey-based investments advisers have

  8. Financial crime controls at challenger banks

    Firms Multi-firm reviews Published: 22/04/2022 Last modified: 22/04/2022
    Ensuring the firms we regulate are effective in preventing financial crime, such as money laundering and sanctions evasion, remains a key priority. This includes testing the financial crime controls of new business models as they enter the UK

  9. UBS fined £9.45m for failings in its sale of an AIG fund

    Press Releases Published: 12/02/2013 Last modified: 29/03/2013
    The Financial Services Authority (FSA) has fined UBS AG (UBS) for failures in the sale of the AIG Enhanced Variable Rate Fund (the Fund). These failures led to UBS customers being exposed to an unacceptable risk of an unsuitable sale of the Fund.

  10. FCA publishes Decision Notice against Jon Frensham for non-financial misconduct

    Press Releases Published: 29/03/2021 Last modified: 29/03/2021
    The FCA has published a Decision Notice in respect of Jon Frensham (formerly known as Jonathan James Hunt), an independent financial adviser and the sole director at Frensham Wealth Limited.
Related searches
Related topics