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Showing 4581 to 4590 of 4723 search results for final notice refers.

4581. Upper Tribunal upholds the Financial Conduct Authority’s decision to fine and ban Charles Palmer former CEO of adviser network

      Press Releases Published: 09/08/2017 Last modified: 09/08/2017
      On 8 August 2017, the  Upper Tribunal upheld the Financial Conduct Authority’s (FCA) decision to ban Charles Palmer, former CEO of Financial Limited and Investments Limited (“the Firms”), from performing FCA significant influence functions. 

4582. Updated: Upper Tribunal releases its judgment on action against Timothy Roberts and Andrew Wilkins

      Press Releases Published: 18/09/2015 Last modified: 09/12/2016
      The decision follows the Final Notices issued to Catalyst Investment Group Limited and Alison Moran, Catalyst’s compliance officer, in September 2013. ... Final notices forCatalystandAlison Moran.

4583. FCA fines GAM International Management and former Investment Director Timothy Haywood

      Press Releases Published: 30/03/2022 Last modified: 30/03/2022
      The Financial Conduct Authority (FCA) has fined asset manager GAM International Management Limited (GIML) and Timothy Haywood, a former Investment Director and Business Unit Head at GIML.

4584. FCA bans and fines former Burlington director for dishonest involvement in the sale of Unregulated Collective Investment Schemes to retail customers

      Press Releases Published: 29/08/2014 Last modified: 29/08/2014
      FCA bans and fines former Burlington director for dishonest involvement in the sale of Unregulated Collective Investment Schemes to retail customers. Press Releases First published:. 29/08/2014. Last updated: 29/08/2014. Share page. FCA bans and

4585. FCA fines Execution Noble & Company Limited £231,000 for failings as a sponsor

      Press Releases Published: 06/01/2015 Last modified: 08/11/2016
      The Final Notice for Execution Noble & Company Limited. ENCL breached Listing Rules 8.3.5R and 8.7.8R (1) (a) – in summary these rules require sponsors to be open and

4586. CP15/34: Regulatory fees and levies: policy proposals for 2016/17

      Consultation papers Published: 05/11/2015 Last modified: 05/11/2015
      Depending on the proposed policy change, we would expect to provide feedback on the responses received to this consultation in the following February or March Handbook Notice. ... We will consider your feedback and publish a Policy Statement with final

4587. FCA fines Merrill Lynch International £13.2 million for transaction reporting failures

      Press Releases Published: 22/04/2015 Last modified: 22/04/2015
      Without this discount the fine would have been £18,979,876. The Final Notice for Merrill Lynch International.

4588. Cenkos Securities fined for failure to maintain the high standards required of a firm providing Sponsor Services

      Press Releases Published: 09/08/2016 Last modified: 06/03/2017
      The Financial Conduct Authority (FCA) has today fined Cenkos Securities plc (Cenkos) £530,500 for failures in its sponsor services business.  Cenkos failed to have appropriate systems and controls in place across its sponsor services business, and,

4589. FCA fines PPC for misleading consumers and banks in first CMC case closed by the regulator

      Press Releases Published: 17/12/2019 Last modified: 17/12/2019
      The Financial Conduct Authority (FCA) has fined Professional Personal Claims Limited (PPC) £70,000 for misleading consumers through its websites and printed materials.

4590. ICAP Europe Limited fined £14 million for significant failings in relation to LIBOR

      Press Releases Published: 25/09/2013 Last modified: 04/11/2014
      The Final Notice for IEL. ... The remaining contributions were then arithmetically averaged to create the final published LIBOR rate.