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Showing 1951 to 1960 of 2098 search results for This Final Notice refers to breaches.

1951. Financial watchdog fines Equifax Ltd £11 million for role in one of the largest cyber security breaches in history

      Press Releases Published: 13/10/2023 Last modified: 17/10/2023
      FCA fines Equifax £11,164,400 for failing to manage and monitor the security of UK consumer data it had outsourced to its parent company based in the US.

1952. FCA prohibits six individuals for their part in unauthorised collective investment scheme

      Press Releases Published: 01/11/2016 Last modified: 01/11/2016
      In a case brought by the Financial Conduct Authority (FCA) Scott Crawley, Daniel Forsyth, Adam Hawkins, Ross Peters, Aaron Petrou and Dale Walker have today been prohibited from performing any function in relation to any regulated activity for their

1953. FCA censures Aviva plc for listing and transparency rules breach

      Press Releases Published: 26/10/2020 Last modified: 26/10/2020
      The FCA has today publicly censured Aviva plc for making an announcement that had the potential to mislead the market.

1954. Financial Conduct Authority publishes Decision Notice concerning Linear Investments Limited

      Press Releases Published: 27/09/2018 Last modified: 27/09/2018
      The Financial Conduct Authority (FCA) has today published a Decision Notice concerning Linear Investments Limited. Linear failed to take reasonable care to organise and control its affairs responsibly and effectively to ensure potential instances of

1955. Investment Firms Prudential Regime (IFPR)

      Firms Focus areas Published: 28/06/2021 Last modified: 27/06/2024
      The IFPR is our new prudential regime for MiFID investment firms. The regime came into force on 1 January 2022.

1956. Validation Orders

      Firms Consumer credit firms Published: 09/10/2019 Last modified: 13/02/2023
      The FCA explains what Validation Orders are, the difference between agreements entered into before or after 1 April 2014 and how to apply for one.

1957. Statutory notices issued by the RDC

      Who we are Published: 19/07/2022 Last modified: 17/06/2024
      Find out more about warning notices and decision notices issued by the Regulatory Decisions Committee (RDC), the documents you’ll receive if you get one, and how to respond.

1958. Cum-ex trades investigations information – October 2021

      FOI Release Date of Release: 11/10/2021
      FCA provides cum-ex trades investigations information.

1959. 2013 fines

      News stories Published: 02/01/2013 Last modified: 26/03/2024
      Fines published during the calendar year ending December 2013.

1960. FCA fines SEI Investments (Europe) Limited £900,200 for client money breaches

      Press Releases Published: 26/11/2013 Last modified: 29/11/2016
      Firms that hold client assets should ensure they continue to strengthen their management, oversight and controls in this area. ... Final Notice SEI Investments (Europe) Limited.