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Showing 2381 to 2390 of 2436 search results for final notice refers to a failure.

  1. FCA fines compliance officer and broker whose actions enabled market abuse to be committed in October 2010

    Press Releases Published: 08/08/2013 Last modified: 17/09/2013
    The Financial Conduct Authority (FCA) has fined David Davis, senior partner and compliance officer of Paul E Schweder Miller & Co, £70,258, and Vandana Parikh, a broker at the same firm, £45,673, for failing to act with due skill, care and

  2. UBS fined £160 million for significant failings in relation to LIBOR and EURIBOR

    Press Releases Published: 19/12/2012 Last modified: 29/03/2013
    The Financial Services Authority (FSA) has fined UBS AG (UBS) £160 million for misconduct relating to the London Interbank Offered Rate (LIBOR) and the Euro Interbank Offered Rate (EURIBOR). This is the largest fine ever imposed by the FSA.

  3. Rules that apply to firms in SRO and fund operators in the TMPR

    Firms Focus areas Published: 19/08/2020 Last modified: 02/01/2024
    We summarise the rules that apply to firms in the temporary permissions regime (TPR) and fund operators in the temporary marketing permissions regime (TMPR).

  4. Monitoring orders and transactions – our expectations of firms

    Speeches Published: 31/01/2013 Last modified: 29/03/2013
    Speech by Patrick Spens, Head of Market Monitoring, the FSA, at the Futures Options Association Compliance Forum

  5. Final Notice 2021: Lloyds Bank General Insurance Limited, St Andrew’s Insurance Plc, Lloyds Bank Insurance Services Limited and Halifax General Insurance Services Limited [pdf]

    Final notices Published: 08/07/2021
    This Final Notice (Lloyds Bank General Insurance Limited, St Andrew’s Insurance Plc, Lloyds Bank Insurance Services Limited and Halifax General Insurance Services Limited) refers to breaches of PRIN 3 and PRIN 7 related to communications with

  6. FCA fines Xcap Securities PLC £120,900 for client asset failings and applies new penalty regime

    Press Releases Published: 11/06/2013 Last modified: 17/09/2013
    The Financial Conduct Authority (FCA) has fined Xcap Securities PLC (Xcap), a retail investment and capital markets business, £120,900 for failing to adequately protect client money and client assets. This is the first client asset case the FCA has

  7. Consumer Investments: Strategy and Feedback Statement

    Corporate documents Published: 14/09/2021 Last modified: 15/06/2023
    The FCA sets out its view of consumer harm in this market and its 3-year strategy to address this. 

  8. FCA publicly censures Horn Express Ltd (formerly known as Qaran Express Money Transfer Limited) for breaches of the Payment Services Regulations

    Press Releases Published: 30/04/2013 Last modified: 13/05/2013
    The Financial Conduct Authority (FCA) has publicly censured Horn Express Limited (formerly known as Qaran Express Money Transfer Limited, “QEMTL”) for failing to safeguard and segregate customer funds. The FCA would have fined QEMTL £136,687

  9. FCA fines Julius Baer International Limited £18m and publishes decision notices for three individuals

    Press Releases Published: 30/11/2022 Last modified: 28/09/2023
    We have fined Julius Baer International Limited £18,022,500 for failing to conduct its business with integrity, failing to take reasonable care to organise and control its affairs and failing to be open and cooperative with the FCA.

  10. FCA fines Guaranty Trust Bank (UK) Limited £7.6 million for further failures in its anti-money laundering systems and controls

    Press Releases Published: 10/01/2023 Last modified: 10/01/2023
    The Financial Conduct Authority (FCA) has fined Guaranty Trust Bank (UK) Limited (GT Bank) £7,671,800 for serious weaknesses in its anti-money laundering (AML) systems and controls between October 2014 and July 2019.
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