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Showing 1981 to 1990 of 2098 search results for This Final Notice refers to breaches.
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Operational Resilience
We set out the requirements of our policy and how to report an operational disruption. -
Upper Tribunal publishes decision on Andrew Tinney, the former COO of Barclays Wealth
The Upper Tribunal has found that Andrew Tinney, the former COO of Barclays Wealth and Investment Management, breached his obligation as an approved person to act with integrity. -
News for customers of P.F. (International) Limited (“the firm”), a distributor of Kirby Vacuum Cleaners in the South West area of England
Entering into any new regulated credit agreements and credit broking. This took effect immediately. ... This part of the First Supervisory Notice took effect from 1 November 2018. -
Penalties, remediation, and our General Principles
FCA Executive Director of Enforcement and Market Oversight, delivered this speech on financial penalties at the City & Financial Global Ltd event, London. -
Tribunal upholds £80,000 fine for broker who lied about income and used falsified payslips in mortgage application
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 -
Barclays fined £783,800 and agrees to make a voluntary payment to Premier FX customers
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. -
FCA fines Charles Schwab UK £8.96 million over safeguarding and compliance failures
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. -
Retail Prices Index changes and DB pension transfer redress
We will amend our Finalised Guidance for firms on how to calculate redress for unsuitable DB transfers in mid-March 2021 to reflect Government changes to the way that the Retail Prices Index (RPI) inflation measure is calculated from 2030. -
Market abuse
Behaviour such as insider dealing and market manipulation can amount to market abuse. Find out more about the safeguards firms must have in place. -
The expanding scope of individual accountability for corporate misconduct
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