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Showing 4711 to 4720 of 4723 search results for final notice refers.
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FCA statement on the Work Plan for ESMA opinions on pre-trade transparency waivers and commodity position limits
for them to adapt their rules, systems and processes in order to comply before we take any final decision. ... notice period before the revised limit replaces the initial limit to allow market participants to adjust positions and, if eligible, apply for -
The Financial Conduct Authority censures the Co-operative Bank for listing rules breaches and failing to be open with the regulator
The Financial Conduct Authority (FCA) has issued a public censure against The Co-operative Bank plc (Co-op Bank) for breaching its Listing Rules. The Listing Rules require issuers to ensure that information published is not misleading so that -
FSA fines Aon Limited £5.25m for failings in its anti-bribery and corruption systems and controls
The Financial Services Authority (FSA) has today fined Aon Limited (Aon Ltd) £5.25 million for failing to take reasonable care to establish and maintain effective systems and controls to counter the risks of bribery and corruption associated with -
FG18/7: Fairness of variation terms in financial services consumer contracts under the Consumer Rights Act 2015
We are consulting on changes to the Financial Crime Guide for firms, proposing to add a chapter on insider dealing and market manipulation and make miscellaneous changes as a result of recent regulatory changes to ensure the guide remains up to date. -
The Financial Conduct Authority fines FXCM UK £4 million for making ‘unfair profits’ and not being open with the FCA
Final notice for Forex Capital Markets Limited (“FXCM Ltd”), FXCM Securities Limited (“FXCM Securities”). ... notice (relations with regulators – principle 11). -
The FCA fines Porta Verde £25,000 for serious failings in its appointed representatives’ sales practices
The FCA fines Porta Verde £25,000 for serious failings in its appointed representatives’ sales practices. Press Releases First published:. 13/12/2013. Last updated: 08/11/2016. Share page. The FCA fines Porta Verde £25,000 for serious failings -
FCA fines Aviva Investors £17.6m for systems and controls failings that led to its failure to manage conflicts of interest fairly
The Final Notice for Aviva Investors Global Services Limited. -
FCA fines Guaranty Trust Bank (UK) Ltd £525,000 for failures in its anti-money laundering controls
The Financial Conduct Authority (FCA) has fined Guaranty Trust Bank (UK) Ltd (GT Bank) £525,000 for failings in its anti-money laundering (AML) controls for high risk customers between May 2008 and June 2010. -
Testing how Authorised Fund Managers are embedding the Guiding Principles in ESG and sustainable investment funds
We set out findings from our supervisory work that looked at how authorised fund managers (AFMs) comply with existing regulatory requirements and expectations on the design, delivery and disclosure of Environmental, Social and Governance (ESG) and -
FCA censures Lighthouse Advisory Services Limited for serious failings in relation to the British Steel Pension Scheme and £23m paid out in redress
The Financial Conduct Authority (FCA) has censured Lighthouse Advisory Services Limited for the unsuitable advice given during the period 1 April 2015 to 30 April 2019 to people looking to transfer out of defined benefit pension schemes, including