Tag Archive for from-performing

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.

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FCA fines and bans former Deutsche Bank trader, Guillaume Adolph

FCA decides to ban Tom Hayes

The Financial Conduct Authority (FCA) has decided to prohibit Tom Hayes from performing any function in relation to any regulated activity in the financial services industry. The FCA considers that Mr Hayes is not a fit and proper person as a result of his conviction for conspiracy to defraud in relation to the manipulation of Yen LIBOR.

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FCA decides to ban Tom Hayes

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

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.  The Tribunal also upheld the FCA’s decision to impose a financial penalty of £86,691 on Mr Palmer.

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

The FCA fines and prohibits financial adviser for failing to act with integrity and for failing to be open and honest with the regulator

The FCA has today banned Elizabeth Anne Parry from performing any function in relation to any regulated financial activity and fined her £109,400 for lying repeatedly to the regulator when asked about her qualification status.

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The FCA fines and prohibits financial adviser for failing to act with integrity and for failing to be open and honest with the regulator

FCA decides to cancel payday lender’s interim permission and ban its sole director

We have decided to prohibit Andrew Barry Hart from performing any role in regulated financial services and have decided to cancel Wage Payment and Payday Loans Limited’s interim permission.

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FCA decides to cancel payday lender’s interim permission and ban its sole director

FCA bans former RBS LIBOR submitter, Paul White

The FCA has banned Paul White from performing any function in relation to any regulated financial activity and publicly censured him.

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FCA bans former RBS LIBOR submitter, Paul White

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