Showing 41 to 50 of 300 search results for Following enforcement.

41. FCA fines Guaranty Trust Bank (UK) Limited £7.6 million for further failures in its anti-money laundering systems and controls

    Press Releases Published: 10/01/2023 Last modified: 10/01/2023
    The Financial Conduct Authority (FCA) has fined Guaranty Trust Bank (UK) Limited (GT Bank) £7,671,800 for serious weaknesses in its anti-money laundering (AML) systems and controls between October 2014 and July 2019.

42. FCA fines Metro Bank PLC £10 million and publishes Decision Notices for two of its former executive directors

    Press Releases Published: 12/12/2022 Last modified: 12/12/2022
    Metro Bank PLC fined £10,002,300 for breaching the Listing Rules by publishing incorrect information to investors.

43. FCA issues Final Notice to former CEO for anti-money laundering failings

    Press Releases Published: 18/11/2022 Last modified: 18/11/2022
    We have publicly censured Mohammad Ataur Rahman Prodhan, the former Chief Executive Officer of Sonali Bank (UK) Limited (SBUK) for anti-money laundering (AML) failings.

44. FCA bans director from working in financial services after violent criminal conviction

    Press Releases Published: 14/11/2022 Last modified: 14/11/2022
    We have banned Mr Ashkan Zahedian from working in financial services following his conviction for serious, violent offences

45. FCA publishes notice of decision to cancel Umuthi Healthcare Solutions’ shares

    Press Releases Published: 28/10/2022 Last modified: 28/10/2022
    On Monday 4 July 2022, the FCA issued Umuthi Healthcare Solutions PLC (UHS) with a First Supervisory Notice (FSN) confirming its decision to unilaterally discontinue the listing of its standard shares from the Official List with immediate effect.

46. FCA publishes Decision Notices for Barclays plc and Barclays Bank plc (together “Barclays”)

    Press Releases Published: 21/10/2022 Last modified: 21/10/2022
    Barclays have referred their Decision Notices to the Upper Tribunal. Any findings in the Notices are therefore provisional and reflect the FCA’s belief as to what occurred and how it considers the firms’ behaviour should be characterised.

47. FCA fines Sigma Broking Limited £530,000 and bans and fines its former directors following market abuse reporting failures

    Press Releases Published: 06/10/2022 Last modified: 06/10/2022
    Sigma Broking Limited (Sigma) has been fined £531,000 for failing to make reports crucial in fighting potential market abuse and three directors have been fined amounts totalling over £200,000, two of whom have also been prohibited.

48. FCA research: A quarter of consumers would withdraw pension savings earlier to cover cost of living – making them vulnerable to scammer ‘misdirection’

    Press Releases Published: 06/10/2022 Last modified: 06/10/2022
    The FCA launches its latest ScamSmart campaign aimed at giving consumers the knowledge and tools to avoid pension scams

49. FCA statement regarding potential enforcement action against Link Fund Solutions Ltd

    Statements Published: 21/09/2022 Last modified: 21/09/2022
    This follows an announcement made on 21 September by Link Group to the Australian Securities Exchange.

50. FCA decides to impose conditions on takeover of Link Group

    Press Releases Published: 12/09/2022 Last modified: 12/09/2022
    Following announcements made on Monday 12 September by Link Group to the Australian Securities Exchange and Dye and Durham to the Toronto Stock Exchange, the FCA is providing a short update on its involvement in the proposed takeover of the Link