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Showing 2311 to 2320 of 2435 search results for final notice refers to a failure.

2311. FCA fines Merrill Lynch International £13.2 million for transaction reporting failures

      Press Releases Published: 22/04/2015 Last modified: 22/04/2015
      The size of the fine – the highest imposed for transaction reporting failures to date - reflects the severity of MLI’s misconduct, failure to adequately address the root causes over several years ... Without this discount the fine would have been £18

2312. Business Plan 2023/24

      Corporate documents Business plans Published: 04/04/2023 Last modified: 02/07/2024
      The FCA's Business Plan details the work it will do over the next 12 months to help deliver the commitments in its Strategy.

2313. The Financial Conduct Authority takes disciplinary action against five individuals and three firms in relation to solicitors’ professional indemnity insurance and other insurance schemes’ failures

      Press Releases Published: 01/02/2016 Last modified: 01/02/2016
      The Financial Conduct Authority (FCA) has fined five individuals and two firms a total of £15.5m, in addition to banning four of those individuals, for significant integrity and competence failings.

2314. 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.

2315. Financial promotions quarterly data 2024 Q1

      Data Published: 26/04/2024 Last modified: 26/04/2024
      We publish data on the number of financial promotions that it has taken action on to mitigate non-compliance with the our rules. This data is for 1 January 2024 and 31 March 2024.

2316. Business Plan 2022/23

      Business plans Published: 07/04/2022 Last modified: 27/04/2022
      The FCA Business Plan details the work we'll do over the next 12 months to help deliver the commitments in our Strategy.

2317. FCA fines three broker firms £4,775,200 for failures relating to the detection of market abuse

      Press Releases Published: 08/12/2022 Last modified: 08/12/2022
      The FCA has fined BGC Brokers LP, GFI Brokers Limited and GFI Securities Limited for failing to ensure they had appropriate systems and controls in place to effectively detect market abuse.

2318. Partly contested cases, the pipeline and AML investigations

      Speeches Published: 04/04/2019 Last modified: 04/04/2019
      FCA Director of Enforcement and Market Oversight, Mark Steward, delivers a speech on MIFID II and ways to fight financial crime.

2319. FCA fines Sesame Ltd for ‘pay-to-play’ arrangements

      Press Releases Published: 30/10/2014 Last modified: 30/10/2014
      In the Final Notice, the FCA finds that Sesame fell short of Principle 8 by failing to properly manage conflicts of interest. ... Previous final notices for Sesame:. Final guidance: Supervising retail investment advice: inducements and conflicts of

2320. FCA sets expectations ahead of incoming crypto marketing rules

      Press Releases Published: 07/09/2023 Last modified: 07/09/2023
      Tough new rules designed to make the marketing of cryptoasset products clearer and more accurate, and that ban incentives like ‘refer a friend’ bonuses, will come into force on 8 October.