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Showing 1991 to 2000 of 2098 search results for This Final Notice refers to breaches.
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FCA fines and prohibits Mr Stephen Bell, former director of network Financial Group, from performing compliance oversight function
The FCA found that Mr Bell designed and implemented the firms’ systems and controls and was therefore knowingly concerned in the firms’ breaches - set out in Final Notices issued against the ... The Final Notice for Financial Ltd and Investments Ltd. -
Knowledge Base
The Knowledge Base is our source of technical guidance on our Listing Rules, Prospectus Regulation Rules and Disclosure and Transparency Rules. -
FCA fines and prohibits hedge fund Chief Investment Officer for market abuse
The FCA has fined Corrado Abbattista, formerly a portfolio manager, partner and Chief Investment Officer at Fenician Capital Management LLP, £100,000 for market abuse and prohibited him from performing any functions in relation to regulated -
Primary Market Bulletin 45
This edition covers 2 IFRS Sustainability Disclosure Standards that deliver, for the first time, a global reporting standard for corporate sustainability disclosures. -
CCR007 consumer credit data: how to complete the return
Most consumer credit firms with limited permission are required to complete the CCR007 return. We provide guidance and information for firms on each question in the form. -
Financial promotions quarterly data 2024 Q1
We publish data on the number of financial promotions that it has taken action on to mitigate non-compliance with the our rules. This data is for 1 January 2024 and 31 March 2024. -
FCA and PRA jointly fine Mr James Staley £642,430 and announce special requirements regarding whistleblowing systems and controls at Barclays
The Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) have together fined Mr James Staley, Chief Executive of Barclays Group (Barclays), a total of £642,430. Mr Staley failed to act with due skill, care and diligence -
2013 Disclosure Log
The aim of the FCA's Disclosure Log is to keep information that it has released under the Freedom of Information Act and which it thinks is of wider public interest. Find the Disclosure Log for 2013. -
Business interruption insurance
Find out about how we obtained legal clarity on business interruption (BI) insurance during the coronavirus (Covid-19) crisis. -
Deutsche Bank fined £4.7m for failing to properly report transactions
The failure, which affected all Deutsche’s Equity Swap CFD transaction reports in this period, breaches FCA rules on transaction reporting. ... The final notice for Deutsche Bank AG.