Search results

Showing 2421 to 2430 of 2436 search results for final notice refers to a failure.

2421. FCA fines Sapien Capital Ltd for serious financial crime control failings in relation to cum/ex trading

      Press Releases Published: 06/05/2021 Last modified: 06/05/2021
      We have fined Sapien Capital Ltd £178,000 for failings which led to the risk of facilitating fraudulent trading and money laundering.

2422. AIM Investment Company fined for failing to disclose inside information as soon as possible

      Press Releases Published: 14/12/2017 Last modified: 14/12/2017
      The Financial Conduct Authority (FCA) has today fined Tejoori Limited (Tejoori) £70,000 for failing to inform the market of inside information as required by Article 17(1) of the Market Abuse Regulation (MAR).  This is the first fine the FCA has

2423. FCA fines Swinton Group Limited £7.38 million for mis-selling monthly add-on insurance policies

      Press Releases Published: 16/07/2013 Last modified: 17/09/2013
      The Financial Conduct Authority (FCA) has fined Swinton Group Limited (Swinton), one of the largest insurance retailers on the high street, £7,380,400 for mis-selling. The FCA found that Swinton’s aggressive sales strategy meant that it failed to

2424. FCA response to the independent panels’ annual reports

      Corporate documents Published: 01/02/2024 Last modified: 07/02/2024
      In line with its statutory requirement, the FCA responds to key representations made by the Panels in their respective Annual Reports.

2425. The FCA censures Catalyst Investment Group Limited for misleading investors and fines former compliance officer

      Press Releases Published: 03/10/2013 Last modified: 07/02/2022
      he Financial Conduct Authority (FCA) has censured Catalyst Investment Group Limited (Catalyst) for recklessly misleading investors when promoting bonds offered by ARM Asset Backed Securities SA (ARM) between November 2009 and May 2010.

2426. FCA fines Aviva Pension Trustees UK Limited and Aviva Wrap UK Limited £8.2m for Client Money and Assets failings

      Press Releases Published: 05/10/2016 Last modified: 03/11/2016
      The Financial Conduct Authority (FCA) has today fined Aviva Pension Trustees UK Limited and Aviva Wrap UK Limited (together Aviva) £8,246,800 for failings in its oversight of its outsourced providers in relation to the protection of client assets.

2427. Credit Suisse fined £147,190,276 (US$200,664,504) and undertakes to the FCA to forgive US$200 million of Mozambican debt

      Press Releases Published: 19/10/2021 Last modified: 22/10/2021
      The Financial Conduct Authority has fined Credit Suisse over £147 million for serious financial crime due diligence failings related to loans worth over US$1.3 billion, which the bank arranged for the Republic of Mozambique. These loans and a bond

2428. Royal Bank of Scotland fined £5.6m for failing to properly report over a third of transactions

      Press Releases Published: 24/07/2013 Last modified: 17/09/2013
      The Royal Bank of Scotland (RBS) has been fined £5,620,300 by the Financial Conduct Authority (FCA) for incorrectly reporting transactions they made in wholesale markets, and in some instances, failing to report transactions at all.

2429. The FCA fines and prohibits financial adviser for failing to act with integrity and for failing to be open and honest with the regulator

      Press Releases Published: 01/09/2016 Last modified: 06/03/2017
      The Financial Conduct Authority (FCA) has today banned Elizabeth Anne Parry from performing any function in relation to any regulated financial activity and fined her £109,400 for lying repeatedly to the regulator when asked about her qualification

2430. Considerations for Principals who have Appointed Representatives or Introducer Appointed Representatives (ARs)

      News stories Published: 03/11/2017 Last modified: 12/04/2024
      The FCA issued an alert for all Principals who have Appointed Representatives or Introducer Appointed Representatives regardless of sector.