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Showing 121 to 130 of 4130 search results for final notice issued.

  1. Upper Tribunal upholds the Financial Conduct Authority’s decision to fine and ban Charles Palmer former CEO of adviser network

    Press Releases Published: 09/08/2017 Last modified: 09/08/2017
    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. 

  2. FCA fines Chase de Vere for failures surrounding sale of Keydata Products

    Press Releases Published: 17/11/2014 Last modified: 17/11/2014
    The final notice for Chase de Vere Independent Financial Advisers Limited. ... These were distributed via a network of independent financial advisers. The Keydata life settlement products were investments in corporate bonds whereby Keydata purchased

  3. FCA response to the independent panels’ annual reports

    Corporate documents Published: 01/02/2024 Last modified: 07/02/2024
    In line with its statutory requirement, the FCA responds to key representations made by the Panels in their respective Annual Reports.

  4. How implementing the Mortgage Market Review will shape the new market

    Speeches Published: 01/10/2013 Last modified: 03/10/2013
    Speech by Linda Woodall, Director of Mortgages and Consumer Lending, the FCA, at the Financial Services Expo, London. This is the text of the speech as drafted, which may differ from the delivered version.

  5. Lloyds Banking Group fined £117m for failing to handle PPI complaints fairly

    Press Releases Published: 05/06/2015 Last modified: 05/06/2015
    The Financial Conduct Authority (FCA) has issued its largest ever retail fine (£117m) to Lloyds Bank Plc, Bank of Scotland Plc and Black Horse Ltd (together Lloyds) for failing to treat ... In March 2012, Lloyds issued guidance instructing complaint

  6. Alex Hope Sentenced to 16 months’ imprisonment for Perverting the Course of Justice

    Press Releases Published: 23/03/2018 Last modified: 23/03/2018
    Today at Southwark Crown Court Alex Hope was sentenced to 16 months’ imprisonment for perverting the course of justice. The charge related to his conduct following the imposition of a restraint order in 2012 and a confiscation order in 2016

  7. Upper Tribunal upholds the FCA decision to fine and ban former Keydata executives

    Press Releases Published: 06/11/2018 Last modified: 06/11/2018
    The Upper Tribunal has today upheld the Financial Conduct Authority’s (FCA) decision to fine and ban Stewart Ford and Mark Owen, the former CEO and sales director respectively of Keydata Investment Services Ltd (Keydata).

  8. FCA fines Barclays £72 million for poor handling of financial crime risks

    Press Releases Published: 26/11/2015 Last modified: 26/11/2015
    The Final Notice for Barclays Bank. ... In 2007 the Joint Money Laundering Steering Group (JMLSG) Guidance was issued to accompany the MLRs.

  9. FCA fines Merrill Lynch International £13.2 million for transaction reporting failures

    Press Releases Published: 22/04/2015 Last modified: 22/04/2015
    despite substantial FCA guidance to the industry and a poor history of transaction reporting compliance, consisting of a Private Warning issued in 2002 and a fine of £150,000 in 2006. ... Without this discount the fine would have been £18,979,876. The

  10. FCA fines GAM International Management and former Investment Director Timothy Haywood

    Press Releases Published: 30/03/2022 Last modified: 30/03/2022
    The Financial Conduct Authority (FCA) has fined asset manager GAM International Management Limited (GIML) and Timothy Haywood, a former Investment Director and Business Unit Head at GIML.
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