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Showing 101 to 110 of 4130 search results for final notice issued.
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FCA bans former Rabobank trader, Lee Stewart, following LIBOR fraud
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 -
Tribunal upholds FCA ban and significant fine on insurance broker
The Upper Tribunal (Tribunal) has upheld the decision of the Financial Conduct Authority (FCA) to ban Andrew Jeffery, director of Jeffery Flanders (Consulting) Limited, and fine him £150,000 – one of the largest fines imposed on a broker for -
Tribunal partly upholds the Financial Conduct Authority’s decision to fine Tariq Carrimjee for assisting a client to commit market abuse
It remains open to the parties to appeal this judgment. This decision follows the Final Notices issued to Mr Goenka, Mrs Parikh and Mr Davis in relation to the same matter. ... The Final Notices forand Parikh. -
FCA bans and fines two individuals for pension advice failings
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). -
Former Redcentric CFO sentenced to five and a half years imprisonment
Tim Coleman sentenced to five and a half years imprisonment and disqualified from being a director for ten years. -
Consumer investments data review April - September 2021
A summary of the FCA's work to tackle consumer harm in the investment market, between 1 April 2021 and 30 September 2021. -
FCA cancels payday lender’s interim permission, bans director and refuses application to conduct regulated business
The Financial Conduct Authority (FCA) has banned Andrew Barry Hart, the sole director, controller and ultimate owner of Wage Payment and Payday Loans Limited (WPPL), from performing any role in regulated financial services. The FCA has also -
FSA fines Norwich Union Life £1.26m for exposing its customers to the risk of fraud
The Financial Services Authority (FSA) has fined Norwich Union Life £1.26 million for not having effective systems and controls in place to protect customers' confidential information and manage its financial crime risks. These failings resulted in -
PS13/9 Publishing information about enforcement warning notices
We are setting out our policy for publishing information about enforcement warning notices, and responding to the feedback to our consultation. -
The Financial Conduct Authority bans former Deutsche Bank trader, Christian Bittar
The Financial Conduct Authority (FCA) has banned Christian Bittar from performing any function in relation to any regulated financial activity.