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Showing 4351 to 4360 of 4723 search results for final notice refers.

4351. FCA bans former RBS LIBOR submitter, Paul White

      Press Releases Published: 12/04/2016 Last modified: 12/04/2016
      External Broker: "nice, much appreciated.". The FCA issued Mr White with a Warning Notice on 18 June 2014, but proceedings were stayed due to the ongoing criminal investigation of the Serious

4352. Financial Conduct Authority publishes Decision Notice concerning Linear Investments Limited

      Press Releases Published: 27/09/2018 Last modified: 27/09/2018
      The Financial Conduct Authority (FCA) has today published a Decision Notice concerning Linear Investments Limited. Linear failed to take reasonable care to organise and control its affairs responsibly and effectively to ensure potential instances of

4353. Effective global regulation in capital markets

      Speeches Published: 05/12/2017 Last modified: 11/04/2018
      Speech by Megan Butler, Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered to ICI Global Conference, London

4354. 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.

4355. FCA issues its first decision under competition law

      Press Releases Published: 21/02/2019 Last modified: 21/02/2019
      The Financial Conduct Authority (FCA) has today issued a decision which finds that 3 asset management firms breached competition law. This is the FCA’s first formal decision under its competition enforcement powers.

4356. UK MiFID framework notifications

      Firms Markets Markets policy Published: 13/01/2017 Last modified: 09/10/2023
      If you’re an authorised investment firm find out more about the notifications you may need to make.

4357. FCA fines and bans wife and bans husband financial advisor for lack of integrity

      Press Releases Published: 12/10/2017 Last modified: 12/10/2017
      The Financial Conduct Authority (FCA) has banned Mrs Colette Chiesa and Mr John Chiesa from working in financial services for integrity failings. Additionally, Mrs Chiesa has been fined £50,000 for attempting to mislead the FCA during an FCA

4358. Notification and disclosure of net short positions

      Markets Short selling Published: 07/05/2016 Last modified: 17/07/2024
      The EU Short Selling Regulation (SSR) introduced a private and public notification regime for investors who hold net short positions in certain financial instruments.

4359. Cum-ex trades investigations information – October 2021

      FOI Release Date of Release: 11/10/2021
      FCA provides cum-ex trades investigations information.

4360. Darren Newton banned by the FCA for misappropriating client money

      Press Releases Published: 21/05/2018 Last modified: 21/05/2018
      The Financial Conduct Authority (FCA) has today published a Decision Notice, which sets out its decision to ban Darren Lee Newton from working in any regulated activity in the financial services sector.