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Showing 201 to 210 of 222 search results for indigo income limited.
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FCA fines Sapien Capital Ltd for serious financial crime control failings in relation to cum/ex trading
We have fined Sapien Capital Ltd £178,000 for failings which led to the risk of facilitating fraudulent trading and money laundering. -
Investing in outcomes: a regulatory approach to deliver for consumers, markets and competitiveness
Speech by Nikhil Rathi, FCA Chief Executive delivered at the Morgan Stanley European Financials Conference. -
FCA fines Swinton Group Limited £7.38 million for mis-selling monthly add-on insurance policies
The Financial Conduct Authority (FCA) has fined Swinton Group Limited (Swinton), one of the largest insurance retailers on the high street, £7,380,400 for mis-selling. The FCA found that Swinton’s aggressive sales strategy meant that it failed to -
Two former senior executives of Martin Brokers fined and banned for compliance failings related to LIBOR
were proper controls to monitor the propriety of commission income and entertainment spending. ... A culture developed where brokers would provide lavish entertainment to traders in exchange for commission income. -
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 -
FCA fines Pembrokeshire Mortgage Centre Ltd £2.4m for serious failings in relation to the British Steel Pension Scheme
The FCA has fined Pembrokeshire Mortgage Centre Limited (PMC) (trading as County Financial Consultants) (in liquidation) £2,354,331 for giving consumers unsuitable advice to transfer out of the British Steel Pension Scheme and other defined benefit -
PS20/6 Pension transfer advice: feedback on CP19/25 and our final rules and guidance
The FCA has published new rules and guidance on pension transfer advice, particularly defined benefit (DB) to defined contribution (DC) transfers. This Policy Statement forms part of a wider package to improve the suitability of pension transfer -
Occasional Paper No. 55: Better the lender you know? Limited attention and lender familiarity in UK mortgage choices
This Occasional Paper looks at the effect of brand loyalty when borrowers are choosing new mortgages. -
FCA fines Aviva Investors £17.6m for systems and controls failings that led to its failure to manage conflicts of interest fairly
A proportion of these performance fees were paid to traders in Aviva Investors Fixed Income area who managed funds on a side-by-side basis. ... However the FCA found that there were significant weaknesses in Aviva Investors’ risk management framework -
State Street UK fined £22.9m by Financial Conduct Authority for Transitions Management failings
State Street UK means State Street Bank Europe Limited and State Street Global Markets International Limited. ... For example, a typical pension fund trustee may decide to change the general type of assets (such as equities and fixed income bonds) that