Xcap Fsa Fine

Focus Regulatory - Duff & Phelps
Substitutes to retail investors; an initiative started under the FSA regime; and • FCA fines Xcap Securities PLC £120,900 for client asset failings and applies new penalty regime; and focusregulatory ... Visit Document

FCA Enforcement Trends - 2014 - Linklaters
Prior to legal cut-over in April 2013, the FSA signalled that its tough Xcap Securities plc, FCA Enforcement Trends 2014 5 policy therefore indicates that it will normally be considered appropriate to ... Content Retrieval

Thor Mining 11Jan2011
Leaders in Corporate Research Thor Mining PLC 11 January 2012 Hardman & Co. Leaders in Corporate Research 2 Tel: +44(0)20 7929 3399 www.hardmanandco.com ... Read Content

Enforcement Watch Issue 11 - Mishcon De Reya
From the old FSA continue to work their way through the system. These range from the headline grabbing fine levied on JPMorgan to more familiar areas such as client money rule breaches and market abuse. CASS rule breaches fine for Xcap sets new tariff . ... View Full Source

Number 151 July 2013 Banking Law Update - Lexisweb.co.uk
The FCA fine includes disgorgement of this amount. mott accepted that the FCA was the same legal entity as the former Financial Services Authority (FSA), occupied the same buildings and had many of the Xcap Securities plc has been ... Retrieve Here

Insurance Outlook - Pinsent Masons
Insurance Outlook Pinsent Masons’ Insurance Legal Update UK, Europe and Asia 29 July 2013. 2 (Chief Executive of the FCA) on 9 July 2013. The fine imposed on Swinton in relation to the sale of add-on insurance shortly after the FSA having published a consultation paper (CP12/20) ... Read Full Source

Finance.ky.gov
11.06 2. 17.05 2. 25.05 2. 34.14 2. 88.68 2. 218.98 2. 218.98 2. 88.68 2. 135.35 2. 135.35 2. 67.45 2. 67.45 2. 16.190000000000001 2. 19.59 2. 14.28 2. 25.02 2. 17.66 2. 13.86 2. 31.72 2. 19.91 2. 14.03 ... Read Content

Regulatory Enforcement Financial Crime Key Global Financial ...
Regulatory Enforcement • Police force specialist anti-corruption units join forces FCA fines Sesame Limited £6m – In a Final Notice issued on ... Retrieve Doc