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Showing 4631 to 4640 of 4723 search results for final notice refers.

4631. Productive finance working group publishes recommendations addressing the barriers to investment in less liquid assets

      Press Releases Published: 27/09/2021 Last modified: 27/09/2021
      The Productive Finance Working Group has today published a series of recommendations which could facilitate greater investment in longer-term, less liquid assets. The Group is industry led, co-chaired by the Governor of the Bank, the Chief Executive

4632. Fair, transparent and competitive: the FCA’s vision for the asset management sector

      Speeches Published: 30/10/2013 Last modified: 30/10/2013
      Speech by Clive Adamson, FCA Director of Supervision, at the FCA Asset Management Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

4633. FCA fines Sigma Broking Limited £530,000 and bans and fines its former directors following market abuse reporting failures

      Press Releases Published: 06/10/2022 Last modified: 06/10/2022
      Sigma Broking Limited (Sigma) has been fined £531,000 for failing to make reports crucial in fighting potential market abuse and three directors have been fined amounts totalling over £200,000, two of whom have also been prohibited.

4634. FCA fines Stonebridge International Insurance Limited £8.4m in relation to sales of insurance policies

      Press Releases Published: 07/08/2014 Last modified: 07/08/2014
      Final Notice - Stonebridge International Insurance Limited.

4635. CP23/2: Streamlining our rules on structured digital reporting of financial statements

      Consultations Consultation papers Published: 12/01/2023 Last modified: 28/07/2023
      The FCA consulted on changes to streamline transparency rules for certain companies with securities admitted to UK regulated markets to prepare their annual financial report in a specific web browser format (XHTML), and to present the financial

4636. FCA bans and fines Paul Reynolds £290,344 for misleading and unsuitable advice

      Press Releases Published: 20/05/2015 Last modified: 22/05/2015
      On 13 January 2014, Mr Reynolds referred the FCA’s Decision Notice to the Upper Tribunal. ... On 30 April 2015, Mr Reynolds withdrew his reference. The Final Notice.

4637. Aberdeen Asset Managers and Aberdeen Fund Management fined £7.2 million for failing to protect client money

      Press Releases Published: 03/09/2013 Last modified: 17/09/2013
      The Financial Conduct Authority (FCA) has fined Aberdeen Asset Managers Limited and Aberdeen Fund Management Limited (Aberdeen) £7,192,500 for failing to identify, and therefore properly protect, client money placed in Money Market Deposits (MMDs)

4638. FCA fines and imposes a restriction on Canara Bank for anti-money laundering systems failings

      Press Releases Published: 06/06/2018 Last modified: 06/06/2018
      The Financial Conduct Authority (FCA) has fined Canara Bank £896,100 and has imposed a restriction, preventing it from accepting deposits from new customers for 147 days.

4639. AIM Investment Company fined for failing to disclose inside information as soon as possible

      Press Releases Published: 14/12/2017 Last modified: 14/12/2017
      The Financial Conduct Authority (FCA) has today fined Tejoori Limited (Tejoori) £70,000 for failing to inform the market of inside information as required by Article 17(1) of the Market Abuse Regulation (MAR).  This is the first fine the FCA has

4640. FCA bans Keith Dickinson and Andrew Allen for British Steel Pension Scheme advice failings, with £155k to be paid in compensation

      Press Releases Published: 13/09/2023 Last modified: 13/09/2023
      Keith Dickinson and Andrew Allen of Mansion Park Limited (Mansion Park) have been banned from advising customers on pension transfers and pension opt-outs.