Search results
Showing 61 to 70 of 4233 search results for Final notice in relation.
-
FCA fines Crosfill & Archer Claims Limited £110,000
The FCA has fined claims management company, Crosfill & Archer Claims Limited, £110,000. -
FCA fines and prohibits trader for market abuse
The FCA has fined Mr Adrian Geoffrey Horn for market abuse and prohibited him from performing any functions in relation to regulated activity. -
Cum-ex trades investigations information – October 2021
FCA provides cum-ex trades investigations information. -
FCA bans two individuals for lack of integrity
Mr Gray also recklessly provided customers with misleading information in relation to costs and charges and arranged for customers to sign incomplete investment forms despite being aware of the risk that -
FCA prohibits six individuals for their part in unauthorised collective investment scheme
In a case brought by the Financial Conduct Authority (FCA) Scott Crawley, Daniel Forsyth, Adam Hawkins, Ross Peters, Aaron Petrou and Dale Walker have today been prohibited from performing any function in relation to any regulated activity for their -
FCA fines Henderson £1.9m for fund failings
The Financial Conduct Authority (FCA) has fined Henderson Investment Funds Limited (HIFL) £1,867,900 for failing to treat fairly more than 4,500 retail investors in two of its funds, Henderson Japan Enhanced Equity Fund and the Henderson North -
CCR007 consumer credit data: how to complete the return
Most consumer credit firms with limited permission are required to complete the CCR007 return. We provide guidance and information for firms on each question in the form. -
FCA fines LJ Financial Planning Ltd £107,200
Independent financial advice firm is fined for providing its customers with unsuitable pension switching and transfer advice and failing to manage its conflicts of interest. -
FCA bans former CIB Partners Limited CEO Arnold Eber
assets. The Final Notice for Arnold Eber. ... The SLS bonds and asset portfolio, which are the subject of this Final Notice, underpinned certain products issued by Keydata Investment Services Limited (in administration) (Keydata). -
FCA fines Sesame Ltd for ‘pay-to-play’ arrangements
In the Final Notice, the FCA finds that Sesame fell short of Principle 8 by failing to properly manage conflicts of interest. ... Previous final notices for Sesame:. Final guidance: Supervising retail investment advice: inducements and conflicts of