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Showing 4341 to 4350 of 4723 search results for final notice refers.

4341. FCA fines Merrill Lynch £34.5 million for failing to report transactions

      Press Releases Published: 23/10/2017 Last modified: 23/10/2017
      Merrill Lynch International (MLI) has been fined £34,524,000 by the Financial Conduct Authority (FCA) for failing to report 68.5 million exchange traded derivative transactions between 12 February 2014 and 6 February 2016.

4342. Former director banned from conducting regulated activity

      Statements Published: 09/06/2015 Last modified: 09/06/2015
      Final notice for Kevin Allen.

4343. Penalties, remediation, and our General Principles

      Speeches Published: 13/02/2020 Last modified: 13/02/2020
      FCA Executive Director of Enforcement and Market Oversight, delivered this speech on financial penalties at the City & Financial Global Ltd event, London.

4344. Alex Hope pleads guilty to perverting the course of justice

      Press Releases Published: 07/03/2018 Last modified: 07/03/2018
      Today, 7 March 2018, Alex Hope pleaded guilty to a charge of perverting the course of justice at the Inner London Crown Court.

4345. FCA censures Premier FX for payment rule breaches

      Press Releases Published: 25/02/2021 Last modified: 26/02/2021
      The FCA has publicly censured Premier FX Limited for failing to safeguard its customers’ money and for misuse of its payment accounts under the Payments Services Regulations.

4346. Business interruption insurance during the coronavirus pandemic - High Court test case

      Statements Published: 15/05/2020 Last modified: 10/06/2020
      Statement on how we are engaging with policyholders and insurance intermediaries on business interruption (BI) insurance.

4347. FCA fines Tesco Bank £16.4m for failures in 2016 cyber attack

      Press Releases Published: 01/10/2018 Last modified: 01/10/2018
      The Financial Conduct Authority (FCA) has fined Tesco Personal Finance plc (Tesco Bank) £16,400,000 for failing to exercise due skill, care and diligence in protecting its personal current account holders against a cyber attack. The cyber attack

4348. FCA bans and fines two individuals for market abuse

      Press Releases Published: 07/04/2017 Last modified: 07/04/2017
      The Financial Conduct Authority (FCA) has banned and imposed financial penalties on two former Worldspreads Limited (WSL) employees. WSL, which operated a spread betting business, collapsed in March 2012.    

4349. Former Blackrock Asset Management Managing Director Banned

      Press Releases Published: 15/12/2014 Last modified: 15/12/2014
      The Final Notice for Jonathan Paul Burrows.

4350. Mutual societies registration function: 2022-23

      Mutual societies Corporate documents Published: 26/05/2023 Last modified: 26/05/2023
      An update on the FCA's work and a breakdown of societies on the register.