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Showing 2081 to 2090 of 2139 search results for final notice refers to breaches.

  1. FCA fines former managing director £45,000 for failure to notify personal trades

    Press Releases Published: 20/12/2019 Last modified: 20/12/2019
    The FCA has fined Kevin Gorman, a former Managing Director at Braemar Shipping Services plc (Braemar), £45,000 for failure to notify personal trades.

  2. Our approach to competition

    Corporate documents Published: 19/03/2024 Last modified: 21/03/2024
    The FCA promotes effective competition in the interests of consumers.

  3. Asia Resource Minerals plc (formerly Bumi plc) fined £4.65m for breaching the Listing Rules

    Press Releases Published: 17/06/2015 Last modified: 17/06/2015
    The FCA found that ARM committed serious breaches of Listing Principle (LP) 2, Listing Rules (LR) 8 and 11 and Disclosure and Transparency Rule (DTR) 4 in the period 28 June ... This is the second final notice issued in relation to a listed company’s

  4. The FCA’s Competition Powers

    Speeches Published: 23/03/2016 Last modified: 09/11/2016
    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.

  5. Primary Market Bulletin 50

    Newsletters Published: 11/07/2024 Last modified: 11/07/2024
    This special edition consults on changes we propose to make to guidance in our Knowledge Base.

  6. FCA fines Goldman Sachs International £34.3 million for transaction reporting failures

    Press Releases Published: 28/03/2019 Last modified: 28/03/2019
    Goldman Sachs International (GSI) has been fined £34,344,700 by the Financial Conduct Authority (FCA) for failing to provide accurate and timely reporting relating to 220.2 million transaction reports between November 2007 and March 2017.

  7. IRHP: background to the review

    Consumers Know your rights Published: 26/05/2016 Last modified: 14/12/2021
    Information on why the review was conducted. 

  8. PRA and FCA conclude investigations into senior managers in relation to the 2008 failure of HBOS plc

    Press Releases Published: 26/08/2022 Last modified: 26/08/2022
    PRA and FCA joint investigations into certain former senior managers at HBOS plc have now concluded with a decision by each of the Authorities’ independent decision-makers to take no further action.

  9. Enforcement data – Annual Report 2019/20

    Data Published: 10/09/2020 Last modified: 10/09/2020
    This FCA enforcement data for the year 2019/20 forms part of the FCA's annual report 2019/20.

  10. Financial Conduct Authority fines Credit Suisse and Yorkshire Building Society for financial promotions failures

    Press Releases Published: 16/06/2014 Last modified: 09/12/2016
    These promotions were a serious breach of the requirement to be clear, fair and not misleading.
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