Search results
Showing 1301 to 1310 of 1331 search results for This Final Notice refers to breaches of FIT.
-
FCA bans former BGC senior executive Anthony Verrier
The FCA found that Verrier is not a fit and proper person due to concerns over his integrity. ... The Final Notice for Anthony Verrier. -
FCA fines Merrill Lynch £34.5 million for failing to report transactions
Merrill Lynch International (MLI) has been fined £34,524,000 by the Financial Conduct Authority (FCA) for failing to report 68.5 million exchange traded derivative transactions between 12 February 2014 and 6 February 2016. -
FSA fines Nestor Healthcare Group £175,000 for clearance to deal failings
The Financial Services Authority (FSA) has fined Nestor Healthcare Group Limited (Nestor) £175,000 for failing to take adequate steps to ensure that its board members and senior executives complied with the share dealing provisions of the FSA’s -
FCA bans three individuals from working in the financial services industry for non-financial misconduct
The Financial Conduct Authority (FCA) has prohibited Russell David Jameson, Mark Horsey, and Frank Cochran from working in the financial services industry following findings that they are not fit and proper. Each of them had been convicted of -
Enforcement data – Annual Report 2020/21
This FCA enforcement data for the year 2020/21 forms part of the FCA's annual report 2020/21. -
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. -
Variation of permission
If your firm wants to change or add to its regulated activities, find out how you can apply to us for a variation of permission (VoP). -
Information on investigations opened under the Senior Managers' Regime - June 2022
The FCA provides information on investigations opened under the Senior Managers' Regime. -
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 -
Consumer Investments data review April 2022 – March 2023
A summary of the FCA's work to tackle consumer harm in the investment market, between 1 April 2022 and 31 March 2023.