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Showing 111 to 120 of 6838 search results for final notice.
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Adviser Mark Abley pays £106k for poor pension transfer advice
The FCA has banned Mark Abley of County Capital Wealth Management Ltd (in liquidation) (CCWM) from providing any advice on pension transfers. -
British Steel Pension Scheme – our approach to enforcement
Read about the FCA's investigations into firms and individuals who provided unsuitable advice to consumers to transfer out of the British Steel Pension Scheme (BSPS), as well as other defined benefit (DB) pension schemes. -
Final Notice 2023: ED&F Man Capital Markets Limited [pdf]
This Final Notice refers to breaches of PRIN 2 and PRIN 3 related to wholesale conduct in the trading firm sector. Our view is that a financial penalty should be imposed. -
FCA fines ED&F Man Capital Markets Ltd £17.2m for serious failings which enabled millions in illegitimate tax reclaims
The FCA has fined ED&F Man Capital Markets Ltd (‘MCM’) £17,219,300 for serious failings in its oversight of cum-ex trading. These failings allowed MCM to collect fees for trading strategies designed to enable its clients to illegitimately -
US dollar LIBOR panel – 1 month to go
FCA issues final messages before the important end-June 2023 deadline. -
Final Notice 2023: Kingsbridge Capital Advisors Limited [pdf]
This Final Notice (Kingsbridge Capital Advisors Limited) refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the investment adviser sector. We imposed a -
Final Notice 2023: Columbus Legal Limited [pdf]
This Final Notice refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the General Insurance and investment adviser sector. We imposed a cancellation. -
CP23/12: Expansion of the Dormant Assets scheme – second phase
We are consulting on the second phase of the Dormant Assets Scheme (DAS). -
Final Notice 2023: David Nicholas King [pdf]
This final notice (Mr David Nicholas King) refers to an application to vary a prohibition order imposed as a result of his lack of fitness and propriety following criminal convictions for theft, fraud and handling criminal property. The authority -
Final Notice 2023: Richard John Hamilton (Trading as Hamilton Motors and Richard H Hamilton Car Sales) [pdf]
This final notice refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the consumer credit sector. We imposed a cancellation