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Showing 2371 to 2380 of 2436 search results for final notice refers to a failure.

2371. Cryptoasset AML / CTF regime: feedback on good and poor quality applications

      Tasks for firms Published: 22/03/2023 Last modified: 03/07/2024
      Feedback on good and poor quality applications made to the FCA under money laundering regulations.

2372. Beyond regulation: thinking creatively about consumer credit

      Speeches Published: 20/03/2018 Last modified: 20/03/2018
      Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at the Responsible Finance Conference, Glasgow.

2373. FCA fines LBGI £90 million for failures in communications for home insurance renewals between 2009 and 2017

      Press Releases Published: 08/07/2021 Last modified: 08/07/2021
      The FCA has fined LBGI (Lloyds Bank General Insurance Limited, St Andrew’s Insurance Plc, Lloyds Bank Insurance Services Limited and Halifax General Insurance Services Limited) £90,688,400 for failing to ensure that language contained within

2374. CP19/9: Financial Services Compensation Scheme – Management Expenses Levy Limit 2019/20

      Consultation papers Published: 31/01/2019 Last modified: 17/10/2019
      The FCA and Prudential Regulation Authority (PRA) launched a joint consultation on the management expenses levy limit (MELL) for the Financial Services Compensation Scheme (FSCS) for 2019/20. The MELL ensures that the FSCS has adequate funding to

2375. FCA bans director from working in financial services after violent criminal conviction

      Press Releases Published: 14/11/2022 Last modified: 14/11/2022
      We have banned Mr Ashkan Zahedian from working in financial services following his conviction for serious, violent offences

2376. Firm fined £1.8million for "unacceptable" approach to bribery & corruption risks from overseas payments

      Press Releases Published: 19/12/2013 Last modified: 30/08/2015
      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).

2377. Former Swinton executives fined and banned from senior roles after insurance add-ons mis-selling

      Press Releases Published: 05/11/2014 Last modified: 29/11/2021
      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

2378. FCA fines EFG Private Bank £4.2m for failures in its anti-money laundering controls

      Press Releases Published: 24/04/2013 Last modified: 29/11/2021
      The Financial Conduct Authority (FCA) has fined EFG Private Bank Ltd (EFG) £4.2 million for failing to take reasonable care to establish and maintain effective anti-money laundering (AML) controls for high risk customers. The failings were serious

2379. Financial crime controls at challenger banks

      Firms Multi-firm reviews Published: 22/04/2022 Last modified: 22/04/2022
      Ensuring the firms we regulate are effective in preventing financial crime, such as money laundering and sanctions evasion, remains a key priority. This includes testing the financial crime controls of new business models as they enter the UK

2380. Supporting material for applications by consumer credit, mortgage and other consumer finance firms

      Firm authorisation Published: 15/11/2023 Last modified: 13/12/2023
      If you're applying to be authorised by the FCA, find out what supporting material to include in your application and how to prepare everything.