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Showing 1961 to 1970 of 2098 search results for This Final Notice refers to breaches.

  1. FCA fines Metro Bank PLC £10 million and publishes Decision Notices for two of its former executive directors

    Press Releases Published: 12/12/2022 Last modified: 12/12/2022
    Metro Bank PLC fined £10,002,300 for breaching the Listing Rules by publishing incorrect information to investors.

  2. FCA and PRA publish final changes to enhance enforcement decision-making processes

    Press Releases Published: 01/02/2017 Last modified: 04/11/2019
    The Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) have today published final changes in a Policy Statement (PS) aimed at strengthening the transparency and effectiveness of their enforcement decision-making processes

  3. Partly contested cases, the pipeline and AML investigations

    Speeches Published: 04/04/2019 Last modified: 04/04/2019
    FCA Director of Enforcement and Market Oversight, Mark Steward, delivers a speech on MIFID II and ways to fight financial crime.

  4. Credit broking firms: key rules

    Tasks for regulated firms Published: 23/11/2015 Last modified: 16/02/2023
    Read about the key rules for credit broking firms.

  5. Onshoring updates to our Handbook and Technical Standards

    Last modified: 26/05/2022
    We explain how we’ve prepared our Handbook and Technical Standards for the end of the transition period.

  6. The Financial Conduct Authority publishes new referral criteria for enforcement investigations

    Press Releases Published: 10/07/2015 Last modified: 24/04/2019
    What purpose or goal would be served if the FCA were to take enforcement action in this case? ... This involves assessing whether a referral for an enforcement investigation is appropriate before a final decision is made by relevant senior staff.

  7. FCA bans former BGC senior executive Anthony Verrier

    Press Releases Published: 29/01/2014 Last modified: 30/06/2014
    Where we have evidence of failures to do so, in whatever context this occurs, the FCA will take action accordingly.". ... The Final Notice for Anthony Verrier.

  8. FCA publishes Decision Notice against former CEO of Sonali Bank (UK) Ltd for AML failings

    Press Releases Published: 04/12/2018 Last modified: 04/12/2018
    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.

  9. Two financial advisers banned and fined after investors lose out

    Press Releases Published: 18/10/2013 Last modified: 18/10/2013
    Despite the promise of guaranteed returns, most of those who invested during this period are likely to suffer substantial losses. ... Bentley-Leek and Dervish have been fined £525,000 and £360,000 respectively, substantial fines for individuals which

  10. FSA fines Nestor Healthcare Group £175,000 for clearance to deal failings

    Press Releases Published: 14/02/2013 Last modified: 07/02/2022
    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
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