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Showing 2031 to 2040 of 2098 search results for This Final Notice refers to breaches.

  1. Effective global regulation in capital markets

    Speeches Published: 05/12/2017 Last modified: 11/04/2018
    Speech by Megan Butler, Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered to ICI Global Conference, London

  2. AIFMD updates

    Focus areas Published: 08/06/2016 Last modified: 05/07/2023
    There are several updates the FCA has published on Alternative Investment Fund Managers Regulations. Find out about the FCA's updated guides and forms.

  3. Mutual societies registration function: 2020-21

    Corporate documents Published: 26/05/2021 Last modified: 26/05/2021
    An update on our developments, including how we responded to the coronavirus (Covid-19) pandemic and a breakdown of societies on the register.

  4. Asia Resource Minerals plc (formerly Bumi plc) fined £4.65m for breaching the Listing Rules

    Press Releases Published: 17/06/2015 Last modified: 17/06/2015
    Were it not for this discount the FCA would have imposed a financial penalty of £6,644,641. ... This is the second final notice issued in relation to a listed company’s failure to comply with the Listing Rules applicable to related party transactions.

  5. Invesco Perpetual fined £18.6 million for failings in fund management

    Press Releases Published: 28/04/2014 Last modified: 28/04/2014
    In this case investors of all sizes trusted Invesco Perpetual to manage their money. ... The FCA found that Invesco Perpetual:. Broke the FCA’s rules designed to limit the risks to investors on 33 occasions, these breaches occurred across 15 of the

  6. The FCA fines Moneybarn £2.77m for unfair treatment of customers in arrears

    Press Releases Published: 17/02/2020 Last modified: 02/03/2020
    The Financial Conduct Authority (FCA) has today imposed a fine of £2.77 million on car finance provider, Moneybarn Ltd (Moneybarn), for not treating customers fairly when they fell behind with loan repayments while in financial difficulties,

  7. PRA and FCA conclude investigations into senior managers in relation to the 2008 failure of HBOS plc

    Press Releases Published: 26/08/2022 Last modified: 26/08/2022
    PRA and FCA joint investigations into certain former senior managers at HBOS plc have now concluded with a decision by each of the Authorities’ independent decision-makers to take no further action.

  8. FCA fines former managing director £45,000 for failure to notify personal trades

    Press Releases Published: 20/12/2019 Last modified: 20/12/2019
    The FCA has fined Kevin Gorman, a former Managing Director at Braemar Shipping Services plc (Braemar), £45,000 for failure to notify personal trades.

  9. FCA fines Goldman Sachs International £34.3 million for transaction reporting failures

    Press Releases Published: 28/03/2019 Last modified: 28/03/2019
    Goldman Sachs International (GSI) has been fined £34,344,700 by the Financial Conduct Authority (FCA) for failing to provide accurate and timely reporting relating to 220.2 million transaction reports between November 2007 and March 2017.

  10. Financial Conduct Authority fines Credit Suisse and Yorkshire Building Society for financial promotions failures

    Press Releases Published: 16/06/2014 Last modified: 09/12/2016
    These promotions were a serious breach of the requirement to be clear, fair and not misleading. ... Some of the issues raised in this case will be examined as part of its ongoing work.
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