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Showing 2391 to 2400 of 2436 search results for final notice refers to a failure.

  1. Consumer Investments: Strategy and Feedback Statement

    Corporate documents Published: 14/09/2021 Last modified: 15/06/2023
    The FCA sets out its view of consumer harm in this market and its 3-year strategy to address this. 

  2. FCA fines Execution Noble & Company Limited £231,000 for failings as a sponsor

    Press Releases Published: 06/01/2015 Last modified: 08/11/2016
    ENCL’s failure to be open and cooperative with the regulator is particularly disappointing in light of its close contact with the UKLA between September 2011 and June 2013 due to ... The Final Notice for Execution Noble & Company Limited. ENCL breached

  3. Former UBS trader banned for failings related to US$2.3 billion unauthorised trading losses by Kweku Adoboli

    Press Releases Published: 01/05/2014 Last modified: 24/11/2021
    The Financial Conduct Authority (FCA) has banned John Christopher Hughes from performing any function in relation to any regulated activity in the financial services industry.

  4. Financial services regulation and enforcement: recent developments and emerging issues

    Speeches Published: 09/10/2013 Last modified: 10/10/2013
    Speech by Tracey McDermott, Director of Enforcement and Financial Crime at the NERA Economic Consulting seminar, London. This is the text of the speech as drafted, which may differ from the delivered version.

  5. Speech: Darwin and an evolution in price discrimination

    Insight Published: 17/03/2016 Last modified: 17/02/2017
    An aside. The Competition and Market Authority’s October 2015 remedies notice on banking includes an important observation. ... As the photo of the ‘iTunes scroll’ in Ben-Shahar and Schneider’s book on failures of mandated disclosure shows.

  6. FCA fines Policy Administration Services Ltd £2.8 million for poor complaints handling of mobile phone insurance policies sold by Phones 4u Ltd

    Press Releases Published: 03/07/2013 Last modified: 17/09/2013
    The Financial Conduct Authority (FCA) has fined Policy Administration Services Limited (PAS) £2,834,700 for poor complaints handling between June 2009 and September 2011, including failing to identify the root causes of recurring issues and put

  7. Asia Resource Minerals plc (formerly Bumi plc) fined £4.65m for breaching the Listing Rules

    Press Releases Published: 17/06/2015 Last modified: 17/06/2015
    The belated discovery and review of these transactions, along with other financial irregularities, led to ARM’s failure to publish the 2012 AFR within the four months required by DTR4. ... This is the second final notice issued in relation to a listed

  8. FCA fines Aviva Investors £17.6m for systems and controls failings that led to its failure to manage conflicts of interest fairly

    Press Releases Published: 24/02/2015 Last modified: 24/02/2015
    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.

  9. FCA fines Guaranty Trust Bank (UK) Ltd £525,000 for failures in its anti-money laundering controls

    Press Releases Published: 09/08/2013 Last modified: 17/09/2013
    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.

  10. FCA bans three individuals from working in the financial services industry for non-financial misconduct

    Press Releases Published: 05/11/2020 Last modified: 05/11/2020
    The Financial Conduct Authority (FCA) has prohibited Russell David Jameson, Mark Horsey, and Frank Cochran from working in the financial services industry following findings that they are not fit and proper.  Each of them had been convicted of
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