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Showing 2011 to 2020 of 2139 search results for Final Notice refers to breaches.
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FCA publishes Decision Notice against former CEO of Sonali Bank (UK) Ltd for AML failings
The Financial Conduct Authority (FCA) has today published a Decision Notice in respect of Mohammad Ataur Rahman Prodhan, the former Chief Executive Officer of Sonali Bank (UK) Limited (SBUK), fining him £76,400. -
FCA fines and prohibits trader for market abuse
The FCA has fined Mr Adrian Geoffrey Horn for market abuse and prohibited him from performing any functions in relation to regulated activity. -
The Financial Conduct Authority publishes new referral criteria for enforcement investigations
This involves assessing whether a referral for an enforcement investigation is appropriate before a final decision is made by relevant senior staff. ... The FCA has also made clear that by opening an investigation, it does not mean it has decided that a -
Two financial advisers banned and fined after investors lose out
Bentley-Leek and Dervish have been fined £525,000 and £360,000 respectively, substantial fines for individuals which reflect the seriousness of the breaches and the need to deter others. -
FCA fines Merrill Lynch £34.5 million for failing to report transactions
Merrill Lynch International (MLI) has been fined £34,524,000 by the Financial Conduct Authority (FCA) for failing to report 68.5 million exchange traded derivative transactions between 12 February 2014 and 6 February 2016. -
FSA fines Nestor Healthcare Group £175,000 for clearance to deal failings
The Financial Services Authority (FSA) has fined Nestor Healthcare Group Limited (Nestor) £175,000 for failing to take adequate steps to ensure that its board members and senior executives complied with the share dealing provisions of the FSA’s -
Market abuse
Behaviour such as insider dealing and market manipulation can amount to market abuse. Find out more about the safeguards firms must have in place. -
Information in relation to Premier FX - May 2021
The FCA provides a chronological list of organisations the Head of the FCA's Claims Management Companies department met with. -
Information on enforcement action within asset management in 2019 - May 2020
The FCA provides information on enforcement action within asset management in 2019. -
FCA fines Sir Christopher Gent for disclosing inside information
The Financial Conduct Authority (FCA) has fined Sir Christopher Gent, former non-executive Chairman of ConvaTec Group Plc, £80,000 for unlawfully disclosing inside information.