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Showing 2031 to 2040 of 2139 search results for Final Notice refers to breaches.

  1. Barclays fined £783,800 and agrees to make a voluntary payment to Premier FX customers

    Press Releases Published: 28/02/2022 Last modified: 28/02/2022
    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.

  2. The expanding scope of individual accountability for corporate misconduct

    Speeches Published: 03/04/2017 Last modified: 05/04/2017
    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

  3. Financial promotions quarterly data 2024 Q1

    Data Published: 26/04/2024 Last modified: 26/04/2024
    We publish data on the number of financial promotions that it has taken action on to mitigate non-compliance with the our rules. This data is for 1 January 2024 and 31 March 2024.

  4. News for customers of P.F. (International) Limited (“the firm”), a distributor of Kirby Vacuum Cleaners in the South West area of England

    News stories Published: 02/08/2018 Last modified: 27/11/2018
    This part of the First Supervisory Notice took effect from 1 November 2018. ... The firm has a right to refer the FCA’s decisions to the Upper Tribunal (Tax and Chancery Chamber).

  5. Business interruption insurance

    Firms Focus areas Published: 11/05/2020 Last modified: 30/04/2024
    Find out about how we obtained legal clarity on business interruption (BI) insurance during the coronavirus (Covid-19) crisis. 

  6. FCA fines Charles Schwab UK £8.96 million over safeguarding and compliance failures

    Press Releases Published: 21/12/2020 Last modified: 21/12/2020
    The Financial Conduct Authority (FCA) has fined Charles Schwab UK Ltd (CSUK) £8.96 million for failing to adequately protect client assets, carrying out a regulated activity without permission and making a false statement to the FCA.

  7. Tribunal upholds £80,000 fine for broker who lied about income and used falsified payslips in mortgage application

    Press Releases Published: 17/04/2014 Last modified: 29/11/2021
    The Upper Tribunal (Tribunal) has upheld the decision of the Financial Conduct Authority (FCA) to impose a financial penalty of £80,000 on Amir Khan, director of Sovereign Worldwide Limited (Sovereign), for dishonestly submitting false income

  8. FCA fines and prohibits hedge fund Chief Investment Officer for market abuse

    Press Releases Published: 15/12/2020 Last modified: 15/12/2020
    The FCA has fined Corrado Abbattista, formerly a portfolio manager, partner and Chief Investment Officer at Fenician Capital Management LLP, £100,000 for market abuse and prohibited him from performing any functions in relation to regulated

  9. Enforcement data – Annual Report 2020/21

    Data Published: 15/07/2021 Last modified: 15/07/2021
    This FCA enforcement data for the year 2020/21 forms part of the FCA's annual report 2020/21.

  10. FCA fines and prohibits Mr Stephen Bell, former director of network Financial Group, from performing compliance oversight function

    Press Releases Published: 13/03/2015 Last modified: 13/03/2015
    The FCA found that Mr Bell designed and implemented the firms’ systems and controls and was therefore knowingly concerned in the firms’ breaches - set out in Final Notices issued against the ... The Final Notice for Financial Ltd and Investments Ltd.
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