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Showing 4471 to 4480 of 4723 search results for final notice refers.
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FCA imposes recruitment ban on the Financial Group for failing to control its Appointed Representatives
Charles Palmer, the Group’s CEO, was the subject of a previous Final Notice in 2010, relating to earlier failings at Financial and Investments. ... The Final Notice for Financial Limited andAn appointed representative (AR) is a person or firm who -
FCA bans former Rabobank trader, Lee Stewart, following LIBOR fraud
To date the FCA has issued 14 warning notices related to interest rate benchmarks, and continues wider investigations into individuals’ conduct in relation to LIBOR misconduct. ... The FCA has imposed 8 fines, totalling £653.6 million, on firms for -
The FCA bans Keydata’s former compliance officer, Peter Johnson
The Final Notice follows Mr Johnson’s withdrawal of his reference to the Upper Tribunal. ... The Final Notice for Peter Johnson. -
FCA bans partners of firm that failed to consider customer SIPP suitability
FCA bans partners of firm that failed to consider customer SIPP suitability. Press Releases First published:. 17/04/2014. Last updated: 20/05/2014. Share page. FCA bans partners of firm that failed to consider customer SIPP suitability. Andrew Rees -
FCA introduces new rules on handling complaints about Authorised Push Payment fraud
The FCA has published new rules allowing victims of Authorised Push Payment (APP) fraud to complain to the payment services provider (PSP) receiving their payment. -
FCA fines compliance oversight officer for pension transfer failings
The Financial Conduct Authority (FCA) has today fined David Watters £75,000 for failing to exercise due skill, care and diligence in his role as compliance oversight officer, firstly at FGS McClure Watters (FGS) and then Lanyon Astor Buller Ltd (LAB -
Safe custody services firm review findings
Read what we found during our series of visits in 2010 to the known providers of safe custody services in the UK, what we would expect to see if we conducted a set of similar visits again in the future, and some examples of good and poor practice -
Final notice summary: Wage Payment and Payday Loans Limited, and Andrew Barry Hart [pdf]
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RBS fined £87.5 million for significant failings in relation to LIBOR
The Financial Services Authority (FSA) has fined The Royal Bank of Scotland plc (RBS) £87.5 million for misconduct relating to the London Interbank Offered Rate (LIBOR). -
FS23/5: Review of rules extending SME access to the Financial Ombudsman Service
We set out our findings on whether the thresholds for small and medium sized enterprises (SMEs) to be able to refer complaints to the Financial Ombudsman Service (Ombudsman Service) remain appropriate.