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Showing 52 to 61 of 168 search results for Conduct Authority gave an individual a warning notice.

52. FCA Warning List of unauthorised firms

    Search our Warning List to find details of unauthorised firms and individuals that we’re aware of, that aren’t allowed to operate in the UK.

53. AXA fined and reviews investment sales for advice failings

    Press Releases Published: 13/09/2013 Last modified: 25/11/2021
    The Financial Conduct Authority (FCA) has fined AXA Wealth Services Ltd (AXA) £1,802,200 for failing to ensure it gave suitable investment advice to its customers.

54. Besso Limited fined for anti-bribery and corruption systems failings

    Press Releases Published: 19/03/2014 Last modified: 19/03/2014
    The Financial Conduct Authority (FCA) has fined Besso Limited £315,000 for a failure to take reasonable care to establish and maintain effective systems and controls for countering the risks of ... On 1 April 2013 the Financial Conduct Authority (FCA)

55. Former senior trader sentenced for insider dealing

    Press Releases Published: 19/03/2015 Last modified: 05/04/2023
    In a case brought by the Financial Conduct Authority (FCA), Julian Rifat – a former senior execution trader and portfolio strategist at Moore Europe Capital Management LLC – has today been sentenced at Southwark Crown Court to 19 months

56. Two individuals face bans and £1.3m fine for pension transfer advice failings

    Press Releases Published: 01/09/2023 Last modified: 01/09/2023
    The FCA has decided to fine Toni Fox £681,536 and David Price £632,594 for their roles in operating a flawed pension advice process.

57. FCA and PRA publish final changes to enhance enforcement decision-making processes

    Press Releases Published: 01/02/2017 Last modified: 04/11/2019
    The Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) have today published final changes in a Policy Statement (PS) aimed at strengthening the transparency and effectiveness of their enforcement decision-making processes

58. FCA imposes recruitment ban on the Financial Group for failing to control its Appointed Representatives

    Press Releases Published: 23/07/2014 Last modified: 23/07/2014
    The Financial Conduct Authority (FCA) has used its suspension power for the first time, banning two of the Financial Group’s (the Group) subsidiaries, Financial Limited and Investments Limited, from recruiting ... On the 1 April 2013 the Financial

59. FCA takes action for contempt of court

    Press Releases Published: 04/03/2019 Last modified: 04/03/2019
    On Friday 1 March, The High Court of Justice sentenced Robert John McKendrick to 6 months imprisonment for contempt of court. Mr McKendrick had diverted funds and failed to disclose information about his assets in breach of freezing injunctions

60. Dharam Prakash Gopee guilty of acting as an illegal money lender

    Press Releases Published: 08/02/2018 Last modified: 12/01/2023
    The trial of Dharam Prakash Gopee concluded today at Southwark Crown Court with the jury returning a guilty verdict to the charges brought by the FCA.

61. 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

62. Deutsche Bank fined £227 million by Financial Conduct Authority for LIBOR and EURIBOR failings and for misleading the regulator

    Press Releases Published: 23/04/2015 Last modified: 24/04/2015
    Deutsche Bank fined £227 million by Financial Conduct Authority for LIBOR and EURIBOR failings and for misleading the regulator. ... The Financial Conduct Authority (FCA) has handed Deutsche Bank AG (Deutsche Bank) a £227 million ($340 million) fine,