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Showing 661 to 670 of 747 search results for reasons set out in this Final Notice.

  1. MLA F: Mortgage lending - arrears analysis FAQs

    Registers and systems Published: 13/05/2016 Last modified: 13/06/2022
    MLA F: Mortgage lending - arrears analysis FAQs

  2. Invesco Perpetual fined £18.6 million for failings in fund management

    Press Releases Published: 28/04/2014 Last modified: 28/04/2014
    In this case investors of all sizes trusted Invesco Perpetual to manage their money. ... The FCA’s investment limits– Invesco broke the restrictions set out in COLL 5.2, exposing investors to higher levels of risk than they expected.

  3. FCA one year on – effective regulation goes hand-in-hand with sustainable businesses

    Speeches Published: 12/05/2014 Last modified: 13/05/2014
    Speech by Clive Adamson, FCA Director of Supervision, at the Building Societies Association (BSA). This is the text of the speech as drafted, which may differ from the delivered version.

  4. Human face of regulation

    Speeches Published: 10/04/2013 Last modified: 16/08/2013
    Speech by Martin Wheatley, Chief Executive, the FCA, at the London School of Economics, London

  5. FCA and PRA jointly fine Mr James Staley £642,430 and announce special requirements regarding whistleblowing systems and controls at Barclays

    Press Releases Published: 11/05/2018 Last modified: 11/05/2018
    The Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) have together fined Mr James Staley, Chief Executive of Barclays Group (Barclays), a total of £642,430. Mr Staley failed to act with due skill, care and diligence

  6. Financial Conduct Authority fines Credit Suisse and Yorkshire Building Society for financial promotions failures

    Press Releases Published: 16/06/2014 Last modified: 09/12/2016
    Despite this CSI’s and YBS’s financial promotions marketed the potential maximum return on the product as a key promotional feature. ... Some of the issues raised in this case will be examined as part of its ongoing work.

  7. Debating trust and confidence in banking

    Speeches Published: 28/05/2015 Last modified: 28/05/2015
    Speech by Martin Wheatley, Chief Executive of the FCA, delivered at the ResPublica Vocational Banking event in London. This is the text of the speech as drafted, which may differ from the delivered version.

  8. FCA fines Tesco Bank £16.4m for failures in 2016 cyber attack

    Press Releases Published: 01/10/2018 Last modified: 01/10/2018
    The Financial Conduct Authority (FCA) has fined Tesco Personal Finance plc (Tesco Bank) £16,400,000 for failing to exercise due skill, care and diligence in protecting its personal current account holders against a cyber attack. The cyber attack

  9. Authorised fund managers’ assessments of their funds’ value

    Multi-firm reviews Published: 06/07/2021 Last modified: 06/07/2021
    This review sets out our findings from our review, where we looked at the processes used by different Authorised Fund Managers (AFMs) when they carry out assessments of value (AoVs or 'Value Assessments') for the funds they operate.

  10. FCA fines Goldman Sachs International £34.3 million for transaction reporting failures

    Press Releases Published: 28/03/2019 Last modified: 28/03/2019
    Goldman Sachs International (GSI) has been fined £34,344,700 by the Financial Conduct Authority (FCA) for failing to provide accurate and timely reporting relating to 220.2 million transaction reports between November 2007 and March 2017.