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Showing 141 to 150 of 210 search results for FCA Final Notice to Finablr plc.
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FCA penalises Al Rayan Bank PLC for anti-money laundering failures
We have fined Al Rayan Bank for failing to put in place adequate anti-money laundering (AML) controls. -
FCA fines ARCM £873,118 for breaches of short selling disclosure rules
The Financial Conduct Authority (FCA) has fined Asia Research and Capital Management Ltd (ARCM) £873,118 over transparency failures. The firm failed to notify the FCA and disclose to the public its net short position in Premier Oil Plc built -
Primary Market Bulletin 42
In this edition we cover areas including climate related disclosures, the National Security and Investment Act, unlawful disclosure by Sir Christopher Gent and rules and guidance for cash shells and SPACS on reverse takeovers. -
Lamprell plc fined £2,428,300 for systems and controls failings
The Financial Services Authority (FSA) has fined Lamprell plc (Lamprell) £2,428,300 for significant failings in its systems and controls resulting in Listing Rules and related breaches. Lamprell could not adequately monitor its financial -
The expanding scope of individual accountability for corporate misconduct
Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the New York University Program on Corporate Compliance and Enforcement -
FCA fines Barclays £26 million over treatment of customers in financial difficulty
The Financial Conduct Authority (FCA) has fined Barclays Bank UK PLC, Barclays Bank PLC and Clydesdale Financial Services Limited (Barclays) £26 million for failures in relation to their treatment of consumer credit customers who fell into arrears -
Barclays fined £783,800 and agrees to make a voluntary payment to Premier FX customers
Barclays failed to make enquiries to ensure that Premier FX’s actual business activity aligned with Barclays’ expectations and did not identify that Premier FX’s internal controls were deficient. -
FCA bans and fines two individuals for market abuse
The Financial Conduct Authority (FCA) has banned and imposed financial penalties on two former Worldspreads Limited (WSL) employees. WSL, which operated a spread betting business, collapsed in March 2012. -
Kenneth Carver fined £35,212 for insider dealing
The Financial Conduct Authority (FCA) has today fined Kenneth Carver £35,212 for insider dealing. ... Georgina Philippou, acting director of enforcement and market oversight at the FCA said:. -
Partly contested cases, the pipeline and AML investigations
FCA Director of Enforcement and Market Oversight, Mark Steward, delivers a speech on MIFID II and ways to fight financial crime.