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Showing 4611 to 4620 of 4723 search results for final notice refers.
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Investment advisers’ and authorised firms’ responsibilities when accepting business from unauthorised introducers or lead generators
This alert highlights some of the risks arising from authorised firms accepting business from unauthorised introducers/lead generators and other authorised firms. -
Firm fined £1.8million for "unacceptable" approach to bribery & corruption risks from overseas payments
Firms cannot be complacent about their controls – when we take enforcement action we expect the industry to sit up and take notice.". ... The Final Notices for JLT Specialty Limited (JLTSL). -
Former Swinton executives fined and banned from senior roles after insurance add-ons mis-selling
The Financial Conduct Authority (FCA) has fined three former senior executives of Swinton Group Limited (Swinton) £928,000. The FCA’s action follows previous enforcement action taken against Swinton: in 2013 it was fined £7.4m after it adopted -
Further guidance on enhancing resilience in Liability Driven Investment
The FCA contacted asset managers as they enhance their resilience and review the vulnerabilities they experienced. This publication shares guidance and recommendations for LDI managers. -
JPMorgan Chase Bank N.A. fined £137,610,000 for serious failings relating to its Chief Investment Office’s “London Whale” trades
Final Notice for JP Morgan Chase Bank NA. ... the FCA or PRA would reasonably expect notice. -
CP18/1: Aligning the Financial Services Compensation Scheme levy time period
We are consulting on transitional provisions to ensure that the life and pensions intermediation class will continue to benefit from support from the retail pool over the next few months, consistent with the FSCS’s public messaging on this. -
FCA fines Commerzbank London £37,805,400 over anti-money laundering failures
The FCA has today fined Commerzbank AG (London Branch) £37,805,400 for failing to put adequate anti-money laundering (AML) systems and controls in place between October 2012 and September 2017. -
Clydesdale Bank fined £20,678,300 for serious failings in PPI complaint handling
The final notice for Clydesdale Bank Plc. -
FCA fines Julius Baer International Limited £18m and publishes decision notices for three individuals
We have fined Julius Baer International Limited £18,022,500 for failing to conduct its business with integrity, failing to take reasonable care to organise and control its affairs and failing to be open and cooperative with the FCA. -
FSA fines Norwich Union Life £1.26m for exposing its customers to the risk of fraud
The Financial Services Authority (FSA) has fined Norwich Union Life £1.26 million for not having effective systems and controls in place to protect customers' confidential information and manage its financial crime risks. These failings resulted in