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Showing 61 to 70 of 148 search results for Final Notice issued to Goenka.

  1. Primary Market Bulletin 46

    Newsletters Published: 19/12/2023 Last modified: 19/12/2023
    This edition covers Article 10 UK MAR and ESG stewardship  and TCFD-aligned disclosures: sponsor procedures.

  2. Primary Market Bulletin 40

    Newsletters Published: 27/05/2022 Last modified: 30/05/2022
    In this edition we provide feedback on our consultation in PMB 34 and highlight changes to the Knowledge Base on the prospectus regime as a result of the consultation.

  3. Adviser banned and fined for fabricating RDR qualification certificates

    Press Releases Published: 30/01/2014 Last modified: 30/01/2014
    In early 2013, Mr King led this firm to believe that he held a Statement of Professional Standing issued by the Chartered Insurance Institute (CII), one of the bodies accredited by ... The FCA later checked the validity of Mr King’s Statements to be

  4. Data on Defined Benefits pension transfer activities - February 2022

    FOI Release Date of Release: 28/02/2022
    The FCA answers multiple questions regarding Defined Benefits Pension Transfer activities.

  5. FCA bans former Rabobank trader, Lee Stewart, following LIBOR fraud

    Press Releases Published: 30/07/2015 Last modified: 30/07/2015
    To date the FCA has issued 14 warning notices related to interest rate benchmarks, and continues wider investigations into individuals’ conduct in relation to LIBOR misconduct. ... The FCA has imposed 8 fines, totalling £653.6 million, on firms for

  6. Primary Market Bulletin 33

    Newsletters Published: 29/03/2021 Last modified: 22/04/2021
    Welcome to the 33rd edition of the Primary Market Bulletin (PMB).

  7. FCA bans former RBS LIBOR submitter, Paul White

    Press Releases Published: 12/04/2016 Last modified: 12/04/2016
    External Broker: "nice, much appreciated.". The FCA issued Mr White with a Warning Notice on 18 June 2014, but proceedings were stayed due to the ongoing criminal investigation of the Serious

  8. Consumer investments data review April 2020 - March 2021

    Data Published: 15/09/2021 Last modified: 13/06/2023
    A summary of the FCA's work to tackle consumer harm in the investment market, between 1 April 2020 and 31 March 2021.

  9. FCA fines and bans former RBS trader, Neil Danziger

    Press Releases Published: 08/01/2018 Last modified: 08/01/2018
    The Financial Conduct Authority (FCA) has imposed a financial penalty of £250,000 on former Royal Bank of Scotland (RBS) interest rate derivatives trader, Neil Danziger, and prohibited him from performing any function in relation to any regulated

  10. Service standards 2018/19

    Data Published: 24/06/2019 Last modified: 24/06/2019
    The FCA measures its performance using service standards. These are the levels of performance that it aims to meet when carrying out its regulatory functions. This service standards analysis is for 2018/19.