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Showing 2051 to 2060 of 2139 search results for Final Notice refers to breaches.

2051. AIFMD updates

      Focus areas Published: 08/06/2016 Last modified: 05/07/2023
      There are several updates the FCA has published on Alternative Investment Fund Managers Regulations. Find out about the FCA's updated guides and forms.

2052. FCA and PRA jointly fine Raphaels Bank £1.89m for outsourcing failings

      Press Releases Published: 30/05/2019 Last modified: 30/05/2019
      The Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) have fined R. Raphael & Sons plc (“Raphaels”) for failing to manage its outsourcing arrangements properly between April 2014 and December 2016. 

2053. A to Z of financial terms - Final Notice refers to breaches

      Consumers Published: 20/03/2023 Last modified: 20/03/2023
      A to Z of financial services to help you understand financial and legal terms.

2054. FCA fines ADM Investor Services International Limited £6,470,600 for serious financial crime control failings

      Press Releases Published: 02/10/2023 Last modified: 02/10/2023
      The broker has been fined for inadequate anti-money laundering (AML) systems and controls.

2055. FCA bans Phillip Harold Boakes and sentence of 10 years upheld

      Statements Published: 24/11/2015 Last modified: 24/11/2015
      victims. Describing the offences as “extremely unpleasant” and a “gross breach of trust”, Lord Justice Jackson noted that Mr Boakes had led an extravagant lifestyle. ... The Final Notice for Phillip Boakes. The FCA’s Press Release in relation

2056. FCA fines Bank of Scotland for failing to report suspicions of fraud at HBOS Reading

      Press Releases Published: 21/06/2019 Last modified: 21/06/2019
      The Financial Conduct Authority (FCA) has today fined Bank of Scotland (BOS) £45,500,000 for failures to disclose information about its suspicions that fraud may have occurred at the Reading-based Impaired Assets (IAR) team of Halifax Bank of

2057. FCA fines Reckitt Benckiser £539,800 for listing rule failures

      Press Releases Published: 20/01/2015 Last modified: 30/08/2015
      RB breached key requirements in the listing, disclosure and transparency rules, and failed to identify breaches of the Model Code. ... The Final Notice for Reckitt Benckiser Group.

2058. JPMorgan Chase Bank N.A. fined £137,610,000 for serious failings relating to its Chief Investment Office’s “London Whale” trades

      Press Releases Published: 19/09/2013 Last modified: 19/09/2013
      However the firm’s response to breaches of relevant risk limits was to assume the numbers indicating a breach were unreliable or to doubt the accuracy of the methodology for risk ... Final Notice for JP Morgan Chase Bank NA.

2059. FCA imposes recruitment ban on the Financial Group for failing to control its Appointed Representatives

      Press Releases Published: 23/07/2014 Last modified: 23/07/2014
      Charles Palmer, the Group’s CEO, was the subject of a previous Final Notice in 2010, relating to earlier failings at Financial and Investments. ... The Final Notice for Financial Limited andAn appointed representative (AR) is a person or firm who

2060. Reports about sexual and non-financial misconduct made to the FCA

      FOI Release Date of Release: 07/09/0201
      The FCA responds on the numbers of reports about sexual and non-financial misconduct made to the FCA