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Showing 2341 to 2350 of 2435 search results for final notice refers to a failure.

2341. Information on enforcement action within asset management in 2019 - May 2020

      FOI Release Date of Release: 14/05/2020
      The FCA provides information on enforcement action within asset management in 2019.

2342. Our approach to competition

      Corporate documents Published: 19/03/2024 Last modified: 21/03/2024
      The FCA promotes effective competition in the interests of consumers.

2343. Blue Gate Capital Limited ordered to pay Connaught investors £203,007

      Press Releases Published: 18/12/2020 Last modified: 18/12/2020
      The FCA has publicly censured Blue Gate Capital Limited (Blue Gate) and ordered it to pay £203,007 in restitution to investors who lost money investing in the Connaught Income Fund, Series 1 (the Fund). 

2344. FCA and PRA jointly fine Raphaels Bank £1.89m for outsourcing failings

      Press Releases Published: 30/05/2019 Last modified: 30/05/2019
      The Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) have fined R. Raphael & Sons plc (“Raphaels”) for failing to manage its outsourcing arrangements properly between April 2014 and December 2016. 

2345. 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.

2346. Tribunal upholds FCA ban and significant fine on insurance broker

      Press Releases Published: 28/06/2013 Last modified: 17/09/2013
      The Upper Tribunal (Tribunal) has upheld the decision of the Financial Conduct Authority (FCA) to ban Andrew Jeffery, director of Jeffery Flanders (Consulting) Limited, and fine him £150,000 – one of the largest fines imposed on a broker for

2347. London Capital and Finance plc

      News stories Published: 14/08/2019 Last modified: 02/02/2022
      On 30 January 2019, London Capital and Finance plc (LCF) appointed joint administrators who will contact all affected parties in due course

2348. Funeral plans: check your provider is authorised

      Consumers Published: 24/08/2021 Last modified: 13/03/2024
      Whether you're buying a new funeral plan or you already have one, find out how to make sure your provider is authorised by us, and what you should do if it isn’t.

2349. FCA bans partners of firm that failed to consider customer SIPP suitability

      Press Releases Published: 17/04/2014 Last modified: 20/05/2014
      This was then compounded by the partners’ failure to ensure that their customers fully understood these risks”.

2350. Reports about sexual and non-financial misconduct made to the FCA

      FOI Release Date of Release: 07/09/0201
      The FCA responds on the numbers of reports about sexual and non-financial misconduct made to the FCA