Search results

Showing 4551 to 4560 of 4723 search results for final notice refers.

4551. FCA bans four for 'disgraceful' failings in relation to occupational pension schemes

      Press Releases Published: 17/12/2013 Last modified: 12/06/2020
      Three men have been banned from working in the financial services industry by the Financial Conduct Authority (FCA); and another has been banned from holding key positions. This follows a review of CBW Trustees Limited and CBW Pensions Forensics

4552. Alex Hope Sentenced to 16 months’ imprisonment for Perverting the Course of Justice

      Press Releases Published: 23/03/2018 Last modified: 23/03/2018
      Today at Southwark Crown Court Alex Hope was sentenced to 16 months’ imprisonment for perverting the course of justice. The charge related to his conduct following the imposition of a restraint order in 2012 and a confiscation order in 2016

4553. FCA fines CT Capital Ltd for failures related to PPI complaint handling

      Press Releases Published: 01/06/2016 Last modified: 01/06/2016
      The Final Notice for CT Capital Ltd.

4554. FCA statement on onshoring ESMA’s temporary intervention measures on retail CFD and binary options products

      Statements Published: 22/02/2019 Last modified: 22/02/2019
      The European Securities and Markets Authority’s (ESMA) temporary intervention measures prohibiting binary options and restricting contract for difference products (CFDs) sold to retail clients will become part of UK domestic law on exit day as

4555. FCA fines former managing director £45,000 for failure to notify personal trades

      Press Releases Published: 20/12/2019 Last modified: 20/12/2019
      The FCA has fined Kevin Gorman, a former Managing Director at Braemar Shipping Services plc (Braemar), £45,000 for failure to notify personal trades.

4556. FCA imposes penalties on Sonali Bank (UK) Limited and its former money laundering reporting officer for serious anti-money laundering systems failings

      Press Releases Published: 12/10/2016 Last modified: 12/10/2016
      The Financial Conduct Authority (FCA) has fined Sonali Bank (UK) Limited (SBUK) £3,250,600 and has imposed a restriction, preventing it from accepting deposits from new customers for 168 days. It has also fined the bank’s former money laundering

4557. FCA and PRA fine Goldman Sachs International £96.6m for risk management failures in connection with 1MDB

      Press Releases Published: 22/10/2020 Last modified: 23/10/2020
      FCA and PRA fine Goldman Sachs International £96.6m for risk management failures connected to 1Malaysia Development Berhad (1MDB)

4558. FCA prohibits and fines Omar Hussein for pension switching advice failings

      Press Releases Published: 15/10/2021 Last modified: 15/10/2021
      The FCA has fined Omar Hussein for providing reckless and unsuitable pension switching advice. Mr Hussein has been fined £116,000.

4559. UBS fined £160 million for significant failings in relation to LIBOR and EURIBOR

      Press Releases Published: 19/12/2012 Last modified: 29/03/2013
      The Financial Services Authority (FSA) has fined UBS AG (UBS) £160 million for misconduct relating to the London Interbank Offered Rate (LIBOR) and the Euro Interbank Offered Rate (EURIBOR). This is the largest fine ever imposed by the FSA.

4560. Lloyds Banking Group fined £105m for serious LIBOR and other benchmark failings

      Press Releases Published: 28/07/2014 Last modified: 28/07/2014
      Final Notice for Lloyds Bank plc and Bank of Scotland plc. ... The remaining contributions were then arithmetically averaged to create the final published LIBOR rate.