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Showing 2251 to 2260 of 2435 search results for final notice refers to a failure.

  1. FCA fines Interactive Brokers (UK) Limited £1,049,412 for poor market abuse controls and failure to report suspicious client transactions

    Press Releases Published: 25/01/2018 Last modified: 25/01/2018
    The Financial Conduct Authority (FCA) has today imposed a financial penalty on Interactive Brokers (UK) (IBUK) in the amount of £1,049,412 for failings in its post-trade systems and controls for identifying and reporting suspicious transactions in

  2. Onshoring updates to our Handbook and Technical Standards

    Last modified: 26/05/2022
    We explain how we’ve prepared our Handbook and Technical Standards for the end of the transition period.

  3. Final Notice 2017: Rotton Park/ Winson Green Credit Union Limited [pdf]

    Final notices Published: 22/08/2017
    This final notice refers to a cancellation of permission pursuant to exercising powers under section 55J of FSMA in the credit union sector.

  4. Final notice 2020: James Creed & Acsar Shazadi & Anzelika Lazdovskaja Ltd [pdf]

    Final notices Published: 29/05/2020
    This final notice (James Creed & Acsar Shazadi & Anzelika Lazdovskaja Ltd) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

  5. Final Notice 2017: Elswick and Cruddas Park Credit Union Limited [pdf]

    Final notices Published: 22/08/2017
    This final notice refers to breaches of Principle 11 related to failing to be open and co-operative in the credit union sector. We imposed a cancellation.

  6. FCA Final Notice 2014: Chase de Vere Independent Financial Advisers Limited (formerly AWD Chase de Vere Limited) [pdf]

    Final notices Published: 17/11/2014 Last modified: 08/05/2015
    This final notice refers to breaches of PRIN 3, PRIN 7, SYSC, and COBS related to mis-selling in the investment adviser sector. We imposed a redress.

  7. Moorhouse fined for failures in relation to its telephone sales

    Press Releases Published: 23/04/2015 Last modified: 23/04/2015
    Moorhouse fined for failures in relation to its telephone sales. Press Releases First published:. ... The Final Notice for Moorhouse Group Limited.

  8. Final Notice 2021: Jon Frensham (formerly known as Jonathan James Hunt) [pdf]

    Final notices Published: 17/09/2021
    This Final Notice (Jon Frensham, formerly known as Jonathan James Hunt) refers to breaches of FIT by a financial adviser. We imposed a prohibition.

  9. FCA outcomes and metrics

    Data Published: 02/04/2022 Last modified: 01/07/2024
    The FCA is committed to being clear about how it is accountable for its progress. On this page the FCA sets out its outcomes and the metrics it will use to measure them.

  10. Complain about us, the PRA or the Bank of England (the regulators)

    How we operate Published: 04/04/2016 Last modified: 13/03/2024
    Find out how to make a complaint about the regulators and how we investigate complaints.
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