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Showing 2061 to 2070 of 2139 search results for final notice refers to breaches.

  1. Tribunal upholds FCA fine on firm for misselling complex investments

    Press Releases Published: 27/11/2013 Last modified: 17/12/2013
    We consider that the amount of the penalty should be set at a level that both punishes Westwood for the breaches and deters others from similar conduct. ... Westwood’s Decision Notice was issued on 31 May 2011 and Westwood referred the matter to the

  2. FCA fines and restricts W H Ireland Limited for market abuse risks

    Press Releases Published: 23/02/2016 Last modified: 23/02/2016
    occurring. WHI's failings, which amounted to a breach of Principle 3, included:. ... In addition to the breach of Principle 3, WHI also breached the Senior Management Arrangements Systems and Controls (SYSC) rules in the FCA Handbook concerning conflicts

  3. The Financial Conduct Authority censures the Co-operative Bank for listing rules breaches and failing to be open with the regulator

    Press Releases Published: 11/08/2015 Last modified: 12/01/2023
    The Financial Conduct Authority (FCA) has issued a public censure against The Co-operative Bank plc (Co-op Bank) for breaching its Listing Rules. The Listing Rules require issuers to ensure that information published is not misleading so that

  4. Effective global regulation in capital markets

    Speeches Published: 05/12/2017 Last modified: 11/04/2018
    Speech by Megan Butler, Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered to ICI Global Conference, London

  5. FCA fines Prudential £23,875,000 for failures relating to non-advised annuities sales

    Press Releases Published: 30/09/2019 Last modified: 30/09/2019
    The Financial Conduct Authority (FCA) has fined The Prudential Assurance Company Limited (Prudential) £23,875,000 for failures related to non-advised sales of annuities. 

  6. Consumer Investments data review April 2022 – March 2023

    Data Published: 08/12/2023 Last modified: 08/12/2023
    A summary of the FCA's work to tackle consumer harm in the investment market, between 1 April 2022 and 31 March 2023.

  7. Besso Limited fined for anti-bribery and corruption systems failings

    Press Releases Published: 19/03/2014 Last modified: 19/03/2014
    Besso’s rule breaches occurred between 14 January 2005 and 31 August 2011.In particular Besso:. ... The final notice for Besso Limited.

  8. Mutual societies registration function: 2020-21

    Corporate documents Published: 26/05/2021 Last modified: 26/05/2021
    An update on our developments, including how we responded to the coronavirus (Covid-19) pandemic and a breakdown of societies on the register.

  9. FCA bans director from working in financial services after violent criminal conviction

    Press Releases Published: 14/11/2022 Last modified: 14/11/2022
    We have banned Mr Ashkan Zahedian from working in financial services following his conviction for serious, violent offences

  10. Information on enforcement investigations opened against individuals (SMR) - May 2022

    FOI Release Date of Release: 11/05/2022
    The FCA provides data on enforcement investigations opened against individuals (SMR).
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