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Showing 81 to 90 of 4130 search results for final notice issued.
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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. -
Adviser banned and fined for fabricating RDR qualification certificates
In early 2013, Mr King led this firm to believe that he held a Statement of Professional Standing issued by the Chartered Insurance Institute (CII), one of the bodies accredited by ... The FCA later checked the validity of Mr King’s Statements to be -
FCA fines US based oil trader US $903K for market manipulation
The Financial Conduct Authority (FCA) has fined US based High Frequency Trader, Michael Coscia, US $903,176 (£597,993) for deliberate manipulation of commodities markets. -
Our Perimeter Report
Our perimeter (remit) determines the activities we regulate and the level of protection consumers can expect when they buy financial services and products -
Tribunal directs Financial Conduct Authority to ban former insurance broker
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. -
Monitoring orders and transactions – our expectations of firms
Speech by Patrick Spens, Head of Market Monitoring, the FSA, at the Futures Options Association Compliance Forum -
Darren Newton banned by the FCA for misappropriating client money
The Financial Conduct Authority (FCA) has today published a Decision Notice, which sets out its decision to ban Darren Lee Newton from working in any regulated activity in the financial services sector. -
Business interruption insurance during the coronavirus pandemic - High Court test case
Statement on how we are engaging with policyholders and insurance intermediaries on business interruption (BI) insurance. -
Debt management firms must raise their game, says FCA
Since April:. we have issued final notices against two firms who have had their applications refused. ... On 17 September, the FCA issued a consumer warning about Gregson and Brooke Financial Services (trading as Expert Money Solutions), One Tick -
FCA fines compliance officer and broker whose actions enabled market abuse to be committed in October 2010
The Financial Conduct Authority (FCA) has fined David Davis, senior partner and compliance officer of Paul E Schweder Miller & Co, £70,258, and Vandana Parikh, a broker at the same firm, £45,673, for failing to act with due skill, care and