Filter results
Filter by document type
Filter by year
Sort by:

Search results

Showing 2421 to 2430 of 6305 search results for This final notice.

  1. 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.

  2. CP20/16: Debt advice levy rates for 2020/21 – additional funding

    Consultation papers Published: 05/08/2020 Last modified: 16/10/2020
    We are consulting on the rates at which we propose to charge our levies for the additional amount of funding for debt advice notified to us by Her Majesty’s Treasury (the Treasury) and the Department for Work and Pensions (DWP) in 2020/21.

  3. 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

  4. Financial services regulation and enforcement: recent developments and emerging issues

    Speeches Published: 09/10/2013 Last modified: 10/10/2013
    Speech by Tracey McDermott, Director of Enforcement and Financial Crime at the NERA Economic Consulting seminar, London. This is the text of the speech as drafted, which may differ from the delivered version.

  5. FCA bans and fines Robert Shaw, of TailorMade Independent Ltd, for SIPP advisory failings

    Press Releases Published: 13/08/2015 Last modified: 24/03/2020
    Robert Shaw, former director of advisory firm TailorMade Independent Ltd (TMI) (firm now dissolved), has been banned from senior positions in financial services and fined £41,400 by the Financial Conduct Authority (FCA).

  6. ICAP Europe Limited fined £14 million for significant failings in relation to LIBOR

    Press Releases Published: 25/09/2013 Last modified: 04/11/2014
    This is our fourth penalty in relation to LIBOR and our investigations continue. ... The Final Notice for IEL.

  7. FCA fines Charles Schwab UK £8.96 million over safeguarding and compliance failures

    Press Releases Published: 21/12/2020 Last modified: 21/12/2020
    The Financial Conduct Authority (FCA) has fined Charles Schwab UK Ltd (CSUK) £8.96 million for failing to adequately protect client assets, carrying out a regulated activity without permission and making a false statement to the FCA.

  8. CP18/1: Aligning the Financial Services Compensation Scheme levy time period

    Consultation papers Published: 04/01/2018 Last modified: 23/02/2018
    We are consulting on transitional provisions to ensure that the life and pensions intermediation class will continue to benefit from support from the retail pool over the next few months, consistent with the FSCS’s public messaging on this.

  9. The Financial Conduct Authority (FCA) bans Kweku Mawuli Adoboli from the financial services industry

    Press Releases Published: 15/10/2015 Last modified: 18/11/2021
    Following convictions on 20 November 2012 of two counts of fraud by abuse of position, the Financial Conduct Authority (FCA) has banned Kweku Mawuli Adoboli from performing any function in relation to any regulated financial activity.

  10. Investment advisers’ and authorised firms’ responsibilities when accepting business from unauthorised introducers or lead generators

    News stories Published: 02/08/2016 Last modified: 12/03/2024
    This alert highlights some of the risks arising from authorised firms accepting business from unauthorised introducers/lead generators and other authorised firms.
Related topics