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Showing 121 to 130 of 4235 search results for Final notice in relation.

  1. FCA bans and fines two individuals for pension advice failings

    Press Releases Published: 20/03/2015 Last modified: 24/03/2020
    Lloyd Pope and Peter Legerton, former directors of advisory firm TailorMade Independent Ltd (TMI) (firm now dissolved), have been banned from senior positions in financial services by the Financial Conduct Authority (FCA).

  2. FCA contacting 16,000 customers of debt management firm, PDHL

    Press Releases Published: 10/03/2016 Last modified: 11/03/2016
    Final Notice: PDHL Limited. ... The FCA gave PDHL a Decision Notice dated 16 December 2015 confirming that it had decided to refuse PDHL’s authorisation application.

  3. Tribunal directs Financial Conduct Authority to ban former insurance broker

    Press Releases Published: 16/04/2015 Last modified: 16/04/2015
    On 25 July 2012 the FCA (then the FSA) issued a Decision Notice to Mr Allen stating that it intended to prohibit him because he was not a fit and proper ... The Final Notice for Stephen Allen.

  4. FCA fines Bank of Scotland for failing to report suspicions of fraud at HBOS Reading

    Press Releases Published: 21/06/2019 Last modified: 21/06/2019
    The Financial Conduct Authority (FCA) has today fined Bank of Scotland (BOS) £45,500,000 for failures to disclose information about its suspicions that fraud may have occurred at the Reading-based Impaired Assets (IAR) team of Halifax Bank of

  5. Former UBS trader banned for failings related to US$2.3 billion unauthorised trading losses by Kweku Adoboli

    Press Releases Published: 01/05/2014 Last modified: 24/11/2021
    The Financial Conduct Authority (FCA) has banned John Christopher Hughes from performing any function in relation to any regulated activity in the financial services industry.

  6. 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.

  7. Our Perimeter Report

    Annual reports Published: 20/07/2022 Last modified: 05/04/2024
    Our perimeter (remit) determines the activities we regulate and the level of protection consumers can expect when they buy financial services and products

  8. Upper Tribunal publishes decision on Linear Investments Limited in relation to penalty imposed by FCA

    Press Releases Published: 10/04/2019 Last modified: 10/04/2019
    The Upper Tribunal has published its decision on the reference made by Linear Investments Limited (Linear) in relation to the penalty imposed by the Financial Conduct Authority (FCA).

  9. 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.

  10. Regulating the UK as a global financial centre

    Speeches Published: 13/04/2021 Last modified: 26/04/2021
    Speech delivered by Nausicaa Delfas, Executive Director of International at City & Financial Global’s Virtual Summit.