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Showing 101 to 110 of 150 search results for Final Notice issued to Goenka.
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FCA statement regarding potential enforcement action against Link Fund Solutions Ltd
This follows an announcement made on 21 September by Link Group to the Australian Securities Exchange. -
Upper Tribunal upholds the Financial Conduct Authority’s decision to fine and ban Charles Palmer former CEO of adviser network
On 8 August 2017, the Upper Tribunal upheld the Financial Conduct Authority’s (FCA) decision to ban Charles Palmer, former CEO of Financial Limited and Investments Limited (“the Firms”), from performing FCA significant influence functions. -
Regulating the UK as a global financial centre
Speech delivered by Nausicaa Delfas, Executive Director of International at City & Financial Global’s Virtual Summit. -
Former CFO and Finance Director guilty of misleading investors in case brought by the FCA, former CEO found not guilty
Timothy Coleman, Redcentric Plc's former Chief Financial Officer, has been found guilty of 4 charges concerning the making of false and misleading statements to the market. -
Updated: Upper Tribunal releases its judgment on action against Timothy Roberts and Andrew Wilkins
The decision follows the Final Notices issued to Catalyst Investment Group Limited and Alison Moran, Catalyst’s compliance officer, in September 2013. ... Final notices forCatalystandAlison Moran. -
FCA consults on new guidance on variation terms under unfair terms legislation
The Financial Conduct Authority (FCA) is consulting on new guidance outlining factors financial services firms should consider under the Consumer Rights Act 2015 (CRA) when drafting and reviewing variation terms in their consumer contracts. The CRA -
FCA fines and prohibits Mr Stephen Bell, former director of network Financial Group, from performing compliance oversight function
The FCA found that Mr Bell designed and implemented the firms’ systems and controls and was therefore knowingly concerned in the firms’ breaches - set out in Final Notices issued against the ... The Final Notice for Financial Ltd and Investments Ltd. -
Information on enforcement investigations opened against individuals (SMR) - May 2022
The FCA provides data on enforcement investigations opened against individuals (SMR). -
LIBOR transition and contractual fallbacks
Speech by Edwin Schooling Latter, Director of Markets and Wholesale Policy at the FCA, delivered at the International Swaps and Derivatives Association (ISDA) Annual Legal Forum. -
Deutsche Bank fined £4.7m for failing to properly report transactions
issued Deutsche with a private warning in relation to other similar transaction reporting failures. ... The final notice for Deutsche Bank AG.