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Showing 2331 to 2340 of 2435 search results for final notice refers to a failure.
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Financial watchdog fines Equifax Ltd £11 million for role in one of the largest cyber security breaches in history
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. -
Penalties, remediation, and our General Principles
FCA Executive Director of Enforcement and Market Oversight, delivered this speech on financial penalties at the City & Financial Global Ltd event, London. -
Effective global regulation in capital markets
Speech by Megan Butler, Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered to ICI Global Conference, London -
The Financial Conduct Authority’s Statement on Payment Protection Insurance (PPI)
a failure to disclose a commission of 50% or more gave rise to an unfair relationship under s.140A. ... Our proposals will be subject to a full consultation process and as such what we have set out in this Statement may not represent the final position -
The FCA’s Competition Powers
Speech by Deb Jones, Director of Competition at the FCA, delivered at The Impact of Competition Powers on Financial Services Conference, London. This is the text of the speech as drafted, which may differ from the delivered version. -
FCA fines and restricts W H Ireland Limited for market abuse risks
In this case, WHI’s failings were aggravated by the failure to implement adequately the skilled person’s recommendations. ... The FCA deemed the restriction both necessary and appropriate given WHI’s failure to adequately address issues identified -
FCA issues its first decision under competition law
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. -
FCA fines and bans former Deutsche Bank trader, Guillaume Adolph
The Financial Conduct Authority (FCA) has fined Guillaume Adolph £180,000 and banned him from performing any function in relation to any regulated financial activity. -
HomeServe fined £30 million for widespread failings
from January 2008 to October 2011, to ensure that its senior management undertook adequate regulatory training, which led to a lack of regulatory knowledge and a failure adequately to identify and ... The Final Notice for HomeServe Membership Limited. -
Consumer investments data review April 2020 - March 2021
A summary of the FCA's work to tackle consumer harm in the investment market, between 1 April 2020 and 31 March 2021.