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Showing 1301 to 1310 of 2125 search results for This final notice refers to breaches.
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Decision Notice 2022: Gatehouse Bank Ltd [pdf]
This Decision Notice refers to breaches of the Money Laundering Regulations 2007 related to financial crime in the Retail bank sector. A financial penalty has been imposed -
Decision Notice 2022: Stephen Joseph Burdett [pdf]
This Decision Notice (Stephen Joseph Burdett) refers to breaches of PRIN 1, lack of integrity related to failing to act with integrity and failing to operate in accordance with permissions in the pensions sector. Our view is that a financial penalty -
Decision Notice 2022: James Paul Goodchild [pdf]
This Decision Notice (James Paul Goodchild) refers to breaches of PRIN 1, lack of integrity related to failing to act with integrity in the pensions sector. Our view is that a financial penalty and prohibition should be imposed. -
Decision Notice: Jin-Yi Lee [pdf]
This decision notice (Jin-Yi Lee) refers to breaches of the Listing Principles and Disclosure Rules and Transparency Rules in the issuer sector. Our view is that a fine should be imposed. -
Decision Notice 2023: Nailesh Manubhai Teraiya [pdf]
This Decision Notice refers to breaches of APER 1 related to a trading strategy which resulted in unlawful tax reclaims in the trading firms sector. Our view is that a financial penalty and prohibition should be imposed. -
Decision Notice 2023: Banque Havilland SA [pdf]
This Decision Notice (Banque Havilland SA) refers to breach of Principle 1 related to failing to conduct its business with integrity in the private banking sector. Our view is that a financial penalty of £10,000,000 should be imposed. -
Decision Notice 2022: Ghana International Bank plc [pdf]
This Decision Notice (Ghana International Bank plc) refers to breaches of the Money Laundering Regulations 2007 related to financial crime in the Corporate Banks sector. We imposed a financial penalty. -
Decision Notice 2022: Jorge Lopez Gonzalez [pdf]
This Decision Notice refers to breaches of Market Abuse Regulations and Financial Services and Markets Act 2000 related to market abuse and market manipulation in the Investment Bank sector. Our view is that a financial penalty and a prohibition -
Decision Notice 2023: David Edward Weller [pdf]
This Decision Notice (David Edward Weller) refers to breach of Conduct Rule 1 (COCON 2.1.1R) related to failing to act with integrity in the private banking sector. Our view is that a financial penalty of £54,000 and prohibition should be imposed. -
Decision Notice 2023: Edmund Lloyd Rowland [pdf]
This Decision (Edmund Lloyd Rowland) Notice refers to breach of Conduct Rule 1 (COCON 2.1.1R) related to failing to act with integrity in the private banking sector. Our view is that a financial penalty of £352,000 and prohibition should be imposed.