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Showing 2011 to 2020 of 2098 search results for This Final Notice refers to breaches.

  1. FCA bans Phillip Harold Boakes and sentence of 10 years upheld

    Statements Published: 24/11/2015 Last modified: 24/11/2015
    victims. Describing the offences as “extremely unpleasant” and a “gross breach of trust”, Lord Justice Jackson noted that Mr Boakes had led an extravagant lifestyle. ... The Final Notice for Phillip Boakes. The FCA’s Press Release in relation

  2. FCA fines Interactive Brokers (UK) Limited £1,049,412 for poor market abuse controls and failure to report suspicious client transactions

    Press Releases Published: 25/01/2018 Last modified: 25/01/2018
    The Financial Conduct Authority (FCA) has today imposed a financial penalty on Interactive Brokers (UK) (IBUK) in the amount of £1,049,412 for failings in its post-trade systems and controls for identifying and reporting suspicious transactions in

  3. FCA imposes recruitment ban on the Financial Group for failing to control its Appointed Representatives

    Press Releases Published: 23/07/2014 Last modified: 23/07/2014
    Charles Palmer, the Group’s CEO, was the subject of a previous Final Notice in 2010, relating to earlier failings at Financial and Investments. ... The Final Notice for Financial Limited andAn appointed representative (AR) is a person or firm who

  4. FCA fines Reckitt Benckiser £539,800 for listing rule failures

    Press Releases Published: 20/01/2015 Last modified: 30/08/2015
    This contributed to late and incomplete disclosure to the market of share dealings by two senior executives. ... The Final Notice for Reckitt Benckiser Group.

  5. FCA fines ADM Investor Services International Limited £6,470,600 for serious financial crime control failings

    Press Releases Published: 02/10/2023 Last modified: 02/10/2023
    The broker has been fined for inadequate anti-money laundering (AML) systems and controls.

  6. Reports about sexual and non-financial misconduct made to the FCA

    FOI Release Date of Release: 07/09/0201
    The FCA responds on the numbers of reports about sexual and non-financial misconduct made to the FCA

  7. FCA fines Bank of Scotland for failing to report suspicions of fraud at HBOS Reading

    Press Releases Published: 21/06/2019 Last modified: 21/06/2019
    The Financial Conduct Authority (FCA) has today fined Bank of Scotland (BOS) £45,500,000 for failures to disclose information about its suspicions that fraud may have occurred at the Reading-based Impaired Assets (IAR) team of Halifax Bank of

  8. FCA fines and restricts W H Ireland Limited for market abuse risks

    Press Releases Published: 23/02/2016 Last modified: 23/02/2016
    occurring. WHI's failings, which amounted to a breach of Principle 3, included:. ... In this case, WHI’s failings were aggravated by the failure to implement adequately the skilled person’s recommendations.

  9. Tribunal upholds FCA fine on firm for misselling complex investments

    Press Releases Published: 27/11/2013 Last modified: 17/12/2013
    We consider that the amount of the penalty should be set at a level that both punishes Westwood for the breaches and deters others from similar conduct. ... Westwood’s Decision Notice was issued on 31 May 2011 and Westwood referred the matter to the

  10. FCA fines Prudential £23,875,000 for failures relating to non-advised annuities sales

    Press Releases Published: 30/09/2019 Last modified: 30/09/2019
    The Financial Conduct Authority (FCA) has fined The Prudential Assurance Company Limited (Prudential) £23,875,000 for failures related to non-advised sales of annuities. 
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