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Showing 4641 to 4650 of 4723 search results for final notice refers.

4641. Pension transfers or switches with a view to investing pension monies into unregulated products through SIPPs - Further alert

      News stories Published: 28/04/2014 Last modified: 28/04/2014
      We have also recently published two final notices where we took enforcement action against two partners in a firm, Andrew Rees and Timothy Hughes, who failed to comply with our rules ... In the cases we have seen, customers’ existing arrangements were

4642. FCA fines Citigroup’s international broker-dealer £12.6m for failures relating to the detection of market abuse

      Press Releases Published: 19/08/2022 Last modified: 19/08/2022
      The FCA has fined Citigroup Global Markets Limited (Citigroup Global Markets) £12,553,800 for failing to properly implement Market Abuse Regulation (MAR) requirements, relating to the detection of market abuse.

4643. CP16/3: Financial Services Compensation Scheme – Management Expenses Levy Limit 2016/17

      Consultation papers Published: 18/01/2016 Last modified: 18/01/2016
      Please email us your comments by 15 February 2016. Following this consultation, the PRA and FCA will consider any feedback and issue two respective policy statements or an equivalent Handbook Notice ... on the final MELL so that the amended PRA and FCA

4644. PS21/21: The stronger nudge to pensions guidance: feedback on CP21/11 and final rules and guidance

      Policy statements Published: 01/12/2021 Last modified: 01/12/2021
      We have published our final rules and guidance for firms on the stronger nudge to Pension Wise guidance.

4645. Two former directors of Pritchard Stockbrokers fined and banned for recklessly failing to protect client money

      Press Releases Published: 09/10/2014 Last modified: 29/11/2021
      The Financial Conduct Authority (FCA) has fined and banned David Gillespie, Managing Director, and David Welsby, Finance Director, of stockbroking and wealth management firm, Pritchard Stockbrokers Limited (Pritchard) for serious failings in

4646. FCA fines insurance broker JLT Specialty Limited £7.8m for financial crime control failings

      Press Releases Published: 22/06/2022 Last modified: 22/06/2022
      We have fined JLT Specialty Limited (JLTSL) £7,881,700 for financial crime control failings.

4647. FCA fines Xcap Securities PLC £120,900 for client asset failings and applies new penalty regime

      Press Releases Published: 11/06/2013 Last modified: 17/09/2013
      The Financial Conduct Authority (FCA) has fined Xcap Securities PLC (Xcap), a retail investment and capital markets business, £120,900 for failing to adequately protect client money and client assets. This is the first client asset case the FCA has

4648. Insurance multi-firm review of outcomes monitoring under the Consumer Duty

      Insurance Multi-firm reviews Published: 26/06/2024 Last modified: 26/06/2024
      Our review of insurance firm approaches to monitoring customer outcomes.

4649. PS19/14: Loan-based (‘peer-to-peer’) and investment-based crowdfunding platforms: Feedback to CP18/20 and final rules

      Policy statements Published: 04/06/2019 Last modified: 04/06/2019
      This Policy Statement summarises the feedback we received to our Consultation Paper CP18/20, and sets out the final policy positions we have reached, taking into account the feedback we have received. It also contains the final rules which implement

4650. Deutsche Bank fined £227 million by Financial Conduct Authority for LIBOR and EURIBOR failings and for misleading the regulator

      Press Releases Published: 23/04/2015 Last modified: 24/04/2015
      The Final Notice for Deutsche Bank. ... The remaining contributions were then arithmetically averaged to create the final published LIBOR rate.