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Showing 621 to 630 of 659 search results for final notice refers to a failure to satisfy.
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Final Notice 2019: Goldman Sachs International [pdf]
This final notice (Goldman Sachs International) refers to breaches of SUP 17, SUP 15 and PRIN 3 related to transaction reporting failures in the investment bank sector. We imposed a fine. -
Final Notice 2020: Asia Research and Capital Management Ltd [pdf]
This Final Notice refers to Asia Research and Capital Management’s failure to notify the FCA and disclose to the public its net short position in Premier Oil in breach of short selling disclosure rules. We have fined the firm £873,118. -
Final Notice 2022: Matthew Charles Kent [pdf]
This Final Notice (Matthew Charles Kent) refers to breaches of APER 7 related to the failure to ensure compliance with PRIN 3 in the trading firms sector, which led to further breaches of SUP 17, SUP 15 and Article 16 of MAR. We imposed a financial -
Final Notice 2017: Clive John Rosier [pdf]
This final notice (Clive Rosier) refers to breaches of APER 2 and APER 7 for complaints-handling, failure to demonstrate that suitable advice was given and lack of fitness/propriety in the investment adviser sector. We imposed a fine, withdrawal and -
Final Notice 2024: Toza Payment Technology Limited [pdf]
This Final Notice refers to a failure to carry on payment service activities, comply with regulatory obligations and deal with the Authority in an open and co-operative way. We imposed a cancellation. -
Final Notice 2024: James William Edward Lewis [pdf]
This Final Notice refers to a failure to act with due care, skill and integrity. We imposed a financial penalty and a prohibition order. -
Final Notice 2024: Link Fund Solutions Limited [pdf]
This Final Notice refers to a failure by Link Fund Solutions Limited to act with due skill, care and diligence in carrying out its role as Authorised Corporate Director of the Woodford Equity Income Fund. We imposed a requirement to pay restitution -
Final Notice 2022: Stephen John Tomlin [pdf]
This Final Notice (Stephen John Tomlin) refers to breaches of APER 7 and APER 6 related to the failure to ensure compliance oversight and compliance with PRIN 3 in the trading firms sector, which led to further breaches of SUP 17, SUP 15 and Article -
Final Notice: Interactive Brokers (UK) Limited [pdf]
This final notice refers to breaches of PRIN 3 and SUP 15.10.2R relating to poor market abuse controls and failure to report suspicious client transactions. We imposed a fine. -
Final Notice 2020: LJ Financial Planning Ltd [pdf]
This Final Notice refers to breaches of PRIN 8 and PRIN 9 related to conflicts of interest and failure to provide suitable advice in the Pensions sector. The FCA imposed a financial penalty.