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Showing 4491 to 4500 of 7120 search results for final notice.
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Notice of Decision 2024: M&M McKeefry [pdf]
The Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Decision Notice 2022: Diego Urra [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 2022: Richard Adam [pdf]
The Decision Notice (Richard Adam) refers to knowing concern in breaches of the Market Abuse Regulations and Listing Rules, in the issuer’s sector. Our view is that a financial penalty should be imposed. -
PS21/16: Issuing statutory notices – a new approach to decision makers [pdf]
We are setting out changes to our Enforcement Guide (EG) and Decisions Procedure and Penalties Manual (DEPP) to streamline our decision‑making and governance to enable us to be more effective and efficient in stopping harm to consumers and markets. -
Notice of Decision 2024: Jason Craven [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Whistleblowing qualitative assessment survey 2022
This report sets out the findings of a qualitative assessment survey of a small sample of whistleblowers who disclosed their concerns about wrongdoing to the FCA. The survey was conducted to understand whistleblowers’ experience of reporting to -
CP21/25: Issuing statutory notices - a new approach to decision makers [pdf]
A key part of our Transformation Programme is a fresh approach to tackling firms and individuals who do not meet the required standards. This involves streamlining our decision making and governance so we can respond more quickly. -
Notice of Decision 2024: Hasan Fazal [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Forex trading scams
Find out how unauthorised forex trading and brokerage firms work, how to avoid scams and what to do if you’re scammed. -
Notice of Decision to Cancel 2024: Found Estates [pdf]
This decision notice refers to breaches of The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 related to payment of charges owed to the FCA. We imposed a cancellation.