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Showing 81 to 90 of 135 search results for gave an individual a Warning Notice on 6 March.
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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 -
'Sharing my screen cost me £48,000' – half of investors would miss signs of screen sharing scam as FCA warns of 86% increase
The FCA launches latest ScamSmart campaign aimed at raising awareness of increasingly sophisticated investment scam tactics. -
Information on FCA's recent investigation into NatWest - December 2021
The FCA responds to questions regarding its investigation into NatWest for breaches of the Money Laundering Regulations 2007. -
The new pension flexibilities – update from the FCA
An update on FCA activity on pension flexibilities. -
Financial watchdog fines Equifax Ltd £11 million for role in one of the largest cyber security breaches in history
FCA fines Equifax £11,164,400 for failing to manage and monitor the security of UK consumer data it had outsourced to its parent company based in the US. -
FCA fines and bans former Deutsche Bank trader, Guillaume Adolph
The Financial Conduct Authority (FCA) has fined Guillaume Adolph £180,000 and banned him from performing any function in relation to any regulated financial activity. -
General insurance pricing attestation multi-firm review
Assessing how firms satisfied themselves that they do not systematically discriminate against motor and home insurance customers based on the number of years they have held their policy, including any renewal (tenure). -
UK EMIR news
Read our archive of news relating to EMIR dating back to August 2013. -
FCA bans and fines Robert Shaw, of TailorMade Independent Ltd, for SIPP advisory failings
Robert Shaw, former director of advisory firm TailorMade Independent Ltd (TMI) (firm now dissolved), has been banned from senior positions in financial services and fined £41,400 by the Financial Conduct Authority (FCA). -
FCA highlights continuing concerns about problem firms in the CFD sector
FCA has written to CFD providers outlining expectations and highlighting areas of poor practice seen in firms.