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Showing 4451 to 4460 of 4723 search results for final notice refers.

  1. FCA bans Magnus Michael Peterson from the financial services industry

    Press Releases Published: 26/10/2015 Last modified: 21/11/2016
    The Final Notice for Mr Peterson.

  2. Shareholding notification and disclosure

    Markets Published: 02/05/2016 Last modified: 02/07/2024
    There are several transparency rules under Disclosure Guidance and Transparency Rules Chapter 5 (DTR 5). Find out more about how to make a shareholding notification, certain exemptions and submitting information.

  3. PS23/19: Margin requirements for non-centrally cleared derivatives: Amendments to BTS 2016/2251

    Policy statements Published: 18/12/2023 Last modified: 18/12/2023
    PRA and FCA's final policy and feedback to responses following their joint consultation paper.

  4. FCA fines Sir Christopher Gent for disclosing inside information

    Press Releases Published: 05/08/2022 Last modified: 05/08/2022
    The Financial Conduct Authority (FCA) has fined Sir Christopher Gent, former non-executive Chairman of ConvaTec Group Plc, £80,000 for unlawfully disclosing inside information.

  5. FCA fines Standard Life Assurance Limited £30 million for non-advised pension sales failures

    Press Releases Published: 23/07/2019 Last modified: 23/07/2019
    The Financial Conduct Authority (FCA) has today fined Standard Life Assurance Limited (SLAL) £30,792,500 for failures related to non-advised sales of annuities.

  6. FCA fines Reckitt Benckiser £539,800 for listing rule failures

    Press Releases Published: 20/01/2015 Last modified: 30/08/2015
    The Final Notice for Reckitt Benckiser Group.

  7. FCA publishes Decision Notices concerning Cathay International Holdings Limited, its CEO and Finance Director

    Press Releases Published: 03/06/2019 Last modified: 03/06/2019
    The Financial Conduct Authority (FCA) and Action Fraud are warning the public to be wary of investment scams carried out via bogus online trading platforms. This warning comes as cryptoassests and forex investment scams reports more than tripled

  8. FCA fines former investment banker for sharing confidential information over WhatsApp

    Press Releases Published: 30/03/2017 Last modified: 30/03/2017
    The Financial Conduct Authority (FCA) has today fined Christopher Niehaus, a former investment banker, £37,198 for sharing client confidential information over WhatsApp.  The FCA found that Mr Niehaus failed to act with due skill, care and

  9. FCA publishes Decision Notice against former Worldspreads CEO for market misconduct

    Press Releases Published: 03/07/2020 Last modified: 03/07/2020
    The Financial Conduct Authority (FCA) has today published a Decision Notice in respect of Conor Foley, the former Chief Executive Officer of Worldspreads, fining him £658,900 for market abuse and banning him from performing any roles linked to

  10. Data on Defined Benefits pension transfer activities - February 2022

    FOI Release Date of Release: 28/02/2022
    The FCA answers multiple questions regarding Defined Benefits Pension Transfer activities.
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