Search results
Showing 411 to 420 of 746 search results for reasons set out in this Final Notice.
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Second Supervisory Notice 2022: Samweb UK Ltd [pdf]
For the reasons given in this Notice, the Authority has decided not to rescind the following Directions and Requirements set out below in paragraph 1.2 which were imposed on the Firm and notified to it in the First Supervisory Notice dated 21 June -
Second Supervisory Notice: Symmetric Systems Limited [pdf]
For the reasons given in this Notice, the Authority has decided not to rescind the Requirements set out below at paragraph 1.3 which were imposed on Symmetric Systems Limited, trading as Bank-Smart, and notified to it in the First Supervisory Notice -
Notification and disclosure of net short positions
The EU Short Selling Regulation (SSR) introduced a private and public notification regime for investors who hold net short positions in certain financial instruments. -
Final Notice 2017: Goldenway Global Investments (UK) Limited and Gregory Rupert Nathan [pdf]
This final notice relates to an application for the individual to perform controlled functions at the firm. For the reasons contained in the notice we refused the application in part, namely for Controlled Functions CF10 and CF11. -
2024 fines
Enforcement fines published in 2024. -
2023 fines
Enforcement fines published in 2023. -
Final Notice 2024: HSBC UK Bank plc, HSBC Bank plc and Marks and Spencer Financial Services plc [pdf]
For the reasons given in this Warning Notice, the FCA has imposed on HSBC UK a financial penalty of £6,280,100 -
Requests for letters of goodstanding
Please clearly set out the reason(s) for the Goodstanding request. For example, if the information required is to assist in the assessment of an application, please outline the nature of ... disclaimer. We note that this form may contain confidential -
Final notice 2018: EMEA Exchange Limited [pdf]
This final notice refers to a failure to meet the conditions of registration set out in the Payment Services Regulations 2009. We imposed a refusal. -
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