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Showing 2411 to 2420 of 6305 search results for This final notice.

  1. J.P. Morgan International Bank fined for systems and controls failings in its wealth management business

    Press Releases Published: 23/05/2013 Last modified: 22/11/2021
    The Financial Conduct Authority has fined J.P. Morgan International Bank Limited (JPMIB) £3,076,200 for systems and controls failings relating to its provision of retail investment advice and portfolio investment services.

  2. Former UBS trader banned for failings related to US$2.3 billion unauthorised trading losses by Kweku Adoboli

    Press Releases Published: 01/05/2014 Last modified: 24/11/2021
    The Financial Conduct Authority (FCA) has banned John Christopher Hughes from performing any function in relation to any regulated activity in the financial services industry.

  3. FCA fines Sigma Broking Limited £530,000 and bans and fines its former directors following market abuse reporting failures

    Press Releases Published: 06/10/2022 Last modified: 06/10/2022
    Sigma Broking Limited (Sigma) has been fined £531,000 for failing to make reports crucial in fighting potential market abuse and three directors have been fined amounts totalling over £200,000, two of whom have also been prohibited.

  4. 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.

  5. CP15/34: Regulatory fees and levies: policy proposals for 2016/17

    Consultation papers Published: 05/11/2015 Last modified: 05/11/2015
    Depending on the proposed policy change, we would expect to provide feedback on the responses received to this consultation in the following February or March Handbook Notice. ... We will consider your feedback and publish a Policy Statement with final

  6. FCA fines Barclays £72 million for poor handling of financial crime risks

    Press Releases Published: 26/11/2015 Last modified: 26/11/2015
    This required Barclays to adhere to a higher level of due skill, care and diligence but Barclays failed to do this. ... The Final Notice for Barclays Bank.

  7. CP24/1: Financial Services Compensation Scheme - Management Expenses Levy Limit 2024/25

    Consultation papers Published: 11/01/2024 Last modified: 09/02/2024
    In a joint consultation with the Prudential Regulation Authority (PRA), we are consulting on the management expenses levy limit (MELL) for the Financial Services Compensation Scheme (FSCS).

  8. FCA fines three broker firms £4,775,200 for failures relating to the detection of market abuse

    Press Releases Published: 08/12/2022 Last modified: 08/12/2022
    The FCA has fined BGC Brokers LP, GFI Brokers Limited and GFI Securities Limited for failing to ensure they had appropriate systems and controls in place to effectively detect market abuse.

  9. FCA fines RBS, NatWest and Ulster Bank Ltd £42 million for IT failures

    Press Releases Published: 20/11/2014 Last modified: 20/11/2014
    This caused the IT incident that disrupted customers’ ability to use banking facilities on 20 June 2012. ... The final notice for the Banks.

  10. 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
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