Filter results
Filter by document type
Filter by year
Sort by:

Search results

Showing 1971 to 1980 of 2098 search results for This Final Notice refers to breaches.

  1. CP16/8: Quarterly Consultation Paper No. 12

    Consultation papers Published: 18/03/2016 Last modified: 19/07/2017
    Once a quarter, we consult on proposed miscellaneous amendments to our Handbook. These tend to be minor changes but we still want to get your feedback on our proposals.

  2. The FCA fines Tullett Prebon £15.4 million

    Press Releases Published: 11/10/2019 Last modified: 11/10/2019
    The Financial Conduct Authority (FCA) has fined Tullett Prebon (Europe) Limited (Tullett Prebon) £15.4 million for failing to conduct its business with due skill, care and diligence, failing to have adequate risk management systems and for failing

  3. Complain about us, the PRA or the Bank of England (the regulators)

    How we operate Published: 04/04/2016 Last modified: 13/03/2024
    Find out how to make a complaint about the regulators and how we investigate complaints.

  4. FCA fines Merrill Lynch £34.5 million for failing to report transactions

    Press Releases Published: 23/10/2017 Last modified: 23/10/2017
    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.

  5. FCA fines and prohibits trader for market abuse

    Press Releases Published: 04/03/2021 Last modified: 04/03/2021
    The FCA has fined Mr Adrian Geoffrey Horn for market abuse and prohibited him from performing any functions in relation to regulated activity.

  6. FCA publishes Final Notice for Keydata’s former finance director, Craig McNeil, fining him £350,000 and prohibiting him from performing any significant influence function

    Press Releases Published: 22/09/2015 Last modified: 14/11/2016
    FCA publishes Final Notice for Keydata’s former finance director, Craig McNeil, fining him £350,000 and prohibiting him from performing any significant influence function. ... The Final Notice for Craig McNeil.

  7. FCA fines Sir Christopher Gent for disclosing inside information

    Press Releases Published: 05/08/2022 Last modified: 05/08/2022
    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.

  8. FCA publicly censures Horn Express Ltd (formerly known as Qaran Express Money Transfer Limited) for breaches of the Payment Services Regulations

    Press Releases Published: 30/04/2013 Last modified: 13/05/2013
    The Financial Conduct Authority (FCA) has publicly censured Horn Express Limited (formerly known as Qaran Express Money Transfer Limited, “QEMTL”) for failing to safeguard and segregate customer funds. The FCA would have fined QEMTL £136,687

  9. Lamprell plc fined £2,428,300 for systems and controls failings

    Press Releases Published: 18/03/2013 Last modified: 29/03/2013
    The Financial Services Authority (FSA) has fined Lamprell plc (Lamprell) £2,428,300 for significant failings in its systems and controls resulting in Listing Rules and related breaches. Lamprell could not adequately monitor its financial

  10. Information in relation to Premier FX - May 2021

    FOI Release Date of Release: 27/05/2021
    The FCA provides a chronological list of organisations the Head of the FCA's Claims Management Companies department met with.
Related searches