Search results
Showing 441 to 450 of 746 search results for reasons set out in this Final Notice.
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FCA publishes Decision Notice for former UBS LIBOR trader
This sets out the FCA’s finding that Mr Hussein is not a fit and proper person and its decision to prohibit him from any role in regulated financial services. ... On 19 December 2012 the FSA published a Final Notice against UBS and imposed on UBS a -
FCA bans Terry Farr
The Financial Conduct Authority (FCA) and Action Fraud are warning the public to be wary of investment scams carried out via bogus online trading platforms. This warning comes as cryptoassests and forex investment scams reports more than tripled -
Investigation opening criteria
Factors the FCA considers when deciding to open an investigation, including how it detects and assesses serious misconduct -
Updated: Upper Tribunal releases its judgment on action against Timothy Roberts and Andrew Wilkins
The decision follows the Final Notices issued to Catalyst Investment Group Limited and Alison Moran, Catalyst’s compliance officer, in September 2013. ... Final notices forCatalystandAlison Moran. -
Personal data and market oversight
How and why the FCA uses personal data to carry out its market oversight functions. -
FCA publishes Decision Notice against former CEO of Sonali Bank (UK) Ltd for AML failings
The Financial Conduct Authority (FCA) has today published a Decision Notice in respect of Mohammad Ataur Rahman Prodhan, the former Chief Executive Officer of Sonali Bank (UK) Limited (SBUK), fining him £76,400. -
Statement on the launch of the finalised CTI templates
The FCA welcomes the announcement by the Cost Transparency Initiative (CTI) officially launching finalised and industry-ready templates for the disclosure of costs and charges to institutional investors. The new templates can now be used by -
Vector Wealth Ltd enters administration
We set out the steps Vector Wealth Ltd customers can take and advice on how to protect against scams by fraudsters claiming to be acting on behalf of the administrators. -
Future into focus
Speech by Martin Wheatley, Chief Executive, the FCA, at the International Swaps and Derivatives Association (ISDA) conference, London. This is the text of the speech as drafted, which may differ from the delivered version. -
Request an FCA speaker
Our speaker request process is the formal channel for considering FCA’s external speaking engagements.