Search results
Showing 1991 to 2000 of 2139 search results for final notice refers to breaches.
-
Final Notice 2018: R M H Financial Services (Robert Michael Hulme trading as) [pdf]
This final notice refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the investment advisory sector, mortgage lenders and intermediaries sector and General -
Investment Firms Prudential Regime (IFPR)
The IFPR is our new prudential regime for MiFID investment firms. The regime came into force on 1 January 2022. -
FCA prohibits six individuals for their part in unauthorised collective investment scheme
In a case brought by the Financial Conduct Authority (FCA) Scott Crawley, Daniel Forsyth, Adam Hawkins, Ross Peters, Aaron Petrou and Dale Walker have today been prohibited from performing any function in relation to any regulated activity for their -
FCA fines Xcap Securities PLC £120,900 for client asset failings and applies new penalty regime
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 -
FCA censures Aviva plc for listing and transparency rules breach
The FCA has today publicly censured Aviva plc for making an announcement that had the potential to mislead the market. -
Financial Conduct Authority publishes Decision Notice concerning Linear Investments Limited
The Financial Conduct Authority (FCA) has today published a Decision Notice concerning Linear Investments Limited. Linear failed to take reasonable care to organise and control its affairs responsibly and effectively to ensure potential instances of -
Statutory notices issued by the RDC
Find out more about warning notices and decision notices issued by the Regulatory Decisions Committee (RDC), the documents you’ll receive if you get one, and how to respond. -
2013 fines
Fines published during the calendar year ending December 2013. -
Credit broking firms: key rules
Read about the key rules for credit broking firms. -
Cum-ex trades investigations information – October 2021
FCA provides cum-ex trades investigations information.