Filter results
Filter by document type
Filter by year
Sort by:

Search results

Showing 2091 to 2100 of 2139 search results for final notice refers to breaches.

  1. Speech: Beyond economics?

    Insight Published: 25/01/2017 Last modified: 28/02/2017
    Our occasional papers such as No. 12 on showing the prior premium on insurance renewal notices and No. ... How economics might use other sciences to develop itself further is the future challenge to which I will refer in my fourth theme.

  2. 2019 Disclosure Log

    Last modified: 20/03/2024
    The aim of the FCA's Disclosure Log is to keep information that it has released under the Freedom of Information Act and which it thinks is of wider public interest. Find the Disclosure Log for 2019. 

  3. FCA imposes penalties on Sonali Bank (UK) Limited and its former money laundering reporting officer for serious anti-money laundering systems failings

    Press Releases Published: 12/10/2016 Last modified: 12/10/2016
    The Financial Conduct Authority (FCA) has fined Sonali Bank (UK) Limited (SBUK) £3,250,600 and has imposed a restriction, preventing it from accepting deposits from new customers for 168 days. It has also fined the bank’s former money laundering

  4. Primary Market Bulletin Issue No. 29

    Newsletters Published: 09/06/2020 Last modified: 09/06/2020
    In this special edition, we publish a statement on feedback we received from PMB25 and the changes we have made in response. We also include the final note.

  5. FCA fines Merrill Lynch International £13.2 million for transaction reporting failures

    Press Releases Published: 22/04/2015 Last modified: 22/04/2015
    Without this discount the fine would have been £18,979,876. The Final Notice for Merrill Lynch International. ... To date, the FCA has fined 11 other firms for transaction reporting breaches: Deutsche Bank, Barclays, Credit Suisse, Instinet, Getco,

  6. FCA fines Execution Noble & Company Limited £231,000 for failings as a sponsor

    Press Releases Published: 06/01/2015 Last modified: 08/11/2016
    The Financial Conduct Authority (FCA) has fined sponsor firm Execution Noble & Company Limited (ENCL) £231,000 for breaches of the listing rules in relation to sponsors. ... The Final Notice for Execution Noble & Company Limited. ENCL breached Listing

  7. FCA fines Bastion Capital London Limited £2.5m for serious financial control failings

    Press Releases Published: 13/07/2023 Last modified: 13/07/2023
    The FCA has fined Bastion Capital London Limited (in liquidation) £2,452,700 for serious financial crime control failings in relation to cum-ex trading.

  8. FCA fines The Carphone Warehouse over £29m for insurance mis-selling

    Press Releases Published: 13/03/2019 Last modified: 20/12/2019
    The Financial Conduct Authority (FCA) has fined The Carphone Warehouse £29,107,600 for failings that led to the mis-selling of ’Geek Squad’, a mobile phone insurance and technical support product. This follows an FCA investigation which stemmed

  9. FCA fines The TJM Partnership Limited (in liquidation) £2 million for serious financial crime control failings in relation to cum-ex trading

    Press Releases Published: 15/07/2022 Last modified: 15/07/2022
    The FCA has fined The TJM Partnership Limited (in liquidation) £2,038,700 for failing to ensure it had effective systems and controls to identify and reduce the risk of financial crime and money laundering in its business. This is the third case

  10. AIM Investment Company fined for failing to disclose inside information as soon as possible

    Press Releases Published: 14/12/2017 Last modified: 14/12/2017
    The Financial Conduct Authority (FCA) has today fined Tejoori Limited (Tejoori) £70,000 for failing to inform the market of inside information as required by Article 17(1) of the Market Abuse Regulation (MAR).  This is the first fine the FCA has
Related searches