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

Search results

Showing 2261 to 2270 of 2368 search results for This final notice refers to a failure.

  1. Business Plan 2023/24

    Corporate documents Business plans Published: 04/04/2023 Last modified: 02/07/2024
    The FCA's Business Plan details the work it will do over the next 12 months to help deliver the commitments in its Strategy.

  2. FCA fines Citigroup’s international broker-dealer £12.6m for failures relating to the detection of market abuse

    Press Releases Published: 19/08/2022 Last modified: 19/08/2022
    The FCA has fined Citigroup Global Markets Limited (Citigroup Global Markets) £12,553,800 for failing to properly implement Market Abuse Regulation (MAR) requirements, relating to the detection of market abuse.

  3. Financial promotions quarterly data 2024 Q1

    Data Published: 26/04/2024 Last modified: 26/04/2024
    We publish data on the number of financial promotions that it has taken action on to mitigate non-compliance with the our rules. This data is for 1 January 2024 and 31 March 2024.

  4. FCA fines and bans former Deutsche Bank trader, Guillaume Adolph

    Press Releases Published: 05/03/2018 Last modified: 05/03/2018
    The Financial Conduct Authority (FCA) has fined Guillaume Adolph £180,000 and banned him from performing any function in relation to any regulated financial activity.

  5. FCA fines ADM Investor Services International Limited £6,470,600 for serious financial crime control failings

    Press Releases Published: 02/10/2023 Last modified: 02/10/2023
    The broker has been fined for inadequate anti-money laundering (AML) systems and controls.

  6. FCA and PRA jointly fine Raphaels Bank £1.89m for outsourcing failings

    Press Releases Published: 30/05/2019 Last modified: 30/05/2019
    The Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) have fined R. Raphael & Sons plc (“Raphaels”) for failing to manage its outsourcing arrangements properly between April 2014 and December 2016. 

  7. Business Plan 2022/23

    Business plans Published: 07/04/2022 Last modified: 27/04/2022
    The FCA Business Plan details the work we'll do over the next 12 months to help deliver the commitments in our Strategy.

  8. FCA fines and restricts W H Ireland Limited for market abuse risks

    Press Releases Published: 23/02/2016 Last modified: 23/02/2016
    This second report showed that there were some recommendations which had not been implemented adequately within the time set by the Skilled Person. ... In this case, WHI’s failings were aggravated by the failure to implement adequately the skilled

  9. Financial watchdog fines Equifax Ltd £11 million for role in one of the largest cyber security breaches in history

    Press Releases Published: 13/10/2023 Last modified: 17/10/2023
    FCA fines Equifax £11,164,400 for failing to manage and monitor the security of UK consumer data it had outsourced to its parent company based in the US.

  10. FCA bans Angela Burns from acting as a non-executive director and fines her for her failure to declare conflicts of interest

    Press Releases Published: 14/12/2018 Last modified: 14/12/2018
    The Financial Conduct authority (FCA) has banned Angela Burns from acting as a non-executive director (NED) and fined her £20,000 for failing to act with integrity at two mutual societies.
Related topics