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Showing 3151 to 3160 of 3286 search results for This final notice refers.
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FCA fines Deutsche Bank £163 million for serious anti-money laundering controls failings
The Financial Conduct Authority (FCA) has today fined Deutsche Bank AG (Deutsche Bank) £163,076,224 for failing to maintain an adequate anti-money laundering (AML) control framework during the period between 1 January 2012 and 31 December -
Former UBS trader banned for failings related to US$2.3 billion unauthorised trading losses by Kweku Adoboli
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. -
Tribunal partly upholds the Financial Conduct Authority’s decision to fine Tariq Carrimjee for assisting a client to commit market abuse
It remains open to the parties to appeal this judgment. This decision follows the Final Notices issued to Mr Goenka, Mrs Parikh and Mr Davis in relation to the same matter. ... The Final Notices forand Parikh. -
Former Swinton executives fined and banned from senior roles after insurance add-ons mis-selling
The Financial Conduct Authority (FCA) has fined three former senior executives of Swinton Group Limited (Swinton) £928,000. The FCA’s action follows previous enforcement action taken against Swinton: in 2013 it was fined £7.4m after it adopted -
CP15/34: Regulatory fees and levies: policy proposals for 2016/17
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 -
FCA fines RBS, NatWest and Ulster Bank Ltd £42 million for IT failures
This caused the IT incident that disrupted customers’ ability to use banking facilities on 20 June 2012. ... The final notice for the Banks. -
FCA fines three broker firms £4,775,200 for failures relating to the detection of market abuse
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. -
J.P. Morgan International Bank fined for systems and controls failings in its wealth management business
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. -
FCA fines Bastion Capital London Limited £2.5m for serious financial control failings
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. -
FCA fines Execution Noble & Company Limited £231,000 for failings as a sponsor
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