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Showing 2281 to 2290 of 2435 search results for final notice refers to a failure.

  1. Primary Market Bulletin 46

    Newsletters Published: 19/12/2023 Last modified: 19/12/2023
    This edition covers Article 10 UK MAR and ESG stewardship  and TCFD-aligned disclosures: sponsor procedures.

  2. Outlining the FCA’s approach to authorisation

    Speeches Published: 15/03/2018 Last modified: 15/03/2018
    Speech by Sarah Rapson, Director, Authorisations at the Association of Professional Compliance Consultants (APCC) Annual Conference.

  3. FCA fines ARCM £873,118 for breaches of short selling disclosure rules

    Press Releases Published: 14/10/2020 Last modified: 14/10/2020
    The Financial Conduct Authority (FCA) has fined Asia Research and Capital Management Ltd (ARCM) £873,118 over transparency failures. The firm failed to notify the FCA and disclose to the public its net short position in Premier Oil Plc built

  4. FCA fines Goldman Sachs International £34.3 million for transaction reporting failures

    Press Releases Published: 28/03/2019 Last modified: 28/03/2019
    Goldman Sachs International (GSI) has been fined £34,344,700 by the Financial Conduct Authority (FCA) for failing to provide accurate and timely reporting relating to 220.2 million transaction reports between November 2007 and March 2017.

  5. FCA bans former RBS LIBOR submitter, Paul White

    Press Releases Published: 12/04/2016 Last modified: 12/04/2016
    This ban should reinforce the message that working in financial markets entails obligations and responsibilities and that serious failures will result in substantial penalties including fines and prohibitions.”. ... This is the FCA’s fourth public

  6. FCA issues Final Notice to former CEO for anti-money laundering failings

    Press Releases Published: 18/11/2022 Last modified: 18/11/2022
    We have publicly censured Mohammad Ataur Rahman Prodhan, the former Chief Executive Officer of Sonali Bank (UK) Limited (SBUK) for anti-money laundering (AML) failings.

  7. FCA fines Santander UK £107.7 million for repeated anti-money laundering failures

    Press Releases Published: 09/12/2022 Last modified: 09/12/2022
    The FCA has fined Santander UK Plc (Santander) £107,793,300 after it found serious and persistent gaps in its anti-money laundering (AML) controls, affecting its Business Banking customers. 

  8. Final Notice 2020: Lloyds Bank plc, Bank of Scotland plc, and The Mortgage Business plc [pdf]

    Final notices Published: 11/06/2020
    This Final Notice (Lloyds Bank plc, Bank of Scotland plc, and The Mortgage Business plc) refers to breaches of PRIN 3 and PRIN 6 related to the unfair treatment of customers in the mortgages sector. We imposed a financial penalty.

  9. FCA bans Jon Frensham from working in financial services

    Press Releases Published: 17/09/2021 Last modified: 17/09/2021
    The FCA has banned director Jon Frensham (formerly known as Jonathan James Hunt) from performing any regulated activity

  10. FCA fines Chase de Vere for failures surrounding sale of Keydata Products

    Press Releases Published: 17/11/2014 Last modified: 17/11/2014
    The Financial Conduct Authority (FCA) has fined Chase de Vere Independent Financial Advisers Limited (Chase de Vere) £560,000 for failures surrounding the sale of Keydata products. ... The final notice for Chase de Vere Independent Financial Advisers
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