Search results

Showing 2041 to 2050 of 2098 search results for This Final Notice refers to breaches.

2041. Charles Randell speech at the Annual Public Meeting 2018

      Speeches Published: 11/09/2018 Last modified: 11/09/2018
      Speech by Charles Randell, Chair, Financial Conduct Authority, delivered at the Annual Public Meeting at the QEII Centre, Westminster.

2042. FCA fines The TJM Partnership Limited (in liquidation) £2 million for serious financial crime control failings in relation to cum-ex trading

      Press Releases Published: 15/07/2022 Last modified: 15/07/2022
      The FCA has fined The TJM Partnership Limited (in liquidation) £2,038,700 for failing to ensure it had effective systems and controls to identify and reduce the risk of financial crime and money laundering in its business. This is the third case

2043. Primary Market Bulletin 40

      Newsletters Published: 27/05/2022 Last modified: 30/05/2022
      In this edition we provide feedback on our consultation in PMB 34 and highlight changes to the Knowledge Base on the prospectus regime as a result of the consultation.

2044. FCA imposes penalties on Sonali Bank (UK) Limited and its former money laundering reporting officer for serious anti-money laundering systems failings

      Press Releases Published: 12/10/2016 Last modified: 12/10/2016
      The Financial Conduct Authority (FCA) has fined Sonali Bank (UK) Limited (SBUK) £3,250,600 and has imposed a restriction, preventing it from accepting deposits from new customers for 168 days. It has also fined the bank’s former money laundering

2045. FCA fines Merrill Lynch International £13.2 million for transaction reporting failures

      Press Releases Published: 22/04/2015 Last modified: 22/04/2015
      Proper transaction reporting really matters. Merrill Lynch International has failed to get this right again – despite a Private Warning, a previous fine, and extensive FCA guidance and enforcement action in this ... Without this discount the fine would

2046. FCA fines Bastion Capital London Limited £2.5m for serious financial control failings

      Press Releases Published: 13/07/2023 Last modified: 13/07/2023
      The FCA has fined Bastion Capital London Limited (in liquidation) £2,452,700 for serious financial crime control failings in relation to cum-ex trading.

2047. FCA fines Execution Noble & Company Limited £231,000 for failings as a sponsor

      Press Releases Published: 06/01/2015 Last modified: 08/11/2016
      June and November 2013, and continued to market itself as a competent sponsor throughout this period. ... The Final Notice for Execution Noble & Company Limited. ENCL breached Listing Rules 8.3.5R and 8.7.8R (1) (a) – in summary these rules require

2048. AIM Investment Company fined for failing to disclose inside information as soon as possible

      Press Releases Published: 14/12/2017 Last modified: 14/12/2017
      The Financial Conduct Authority (FCA) has today fined Tejoori Limited (Tejoori) £70,000 for failing to inform the market of inside information as required by Article 17(1) of the Market Abuse Regulation (MAR).  This is the first fine the FCA has

2049. Service standards 2018/19

      Data Published: 24/06/2019 Last modified: 24/06/2019
      The FCA measures its performance using service standards. These are the levels of performance that it aims to meet when carrying out its regulatory functions. This service standards analysis is for 2018/19.

2050. The FCA’s Competition Powers

      Speeches Published: 23/03/2016 Last modified: 09/11/2016
      Speech by Deb Jones, Director of Competition at the FCA, delivered at The Impact of Competition Powers on Financial Services Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.