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Showing 1 to 3 of 3 search results for Merrill Lynch.

  1. Final Notice 2017: Merrill Lynch International [pdf]

    Final notices Published: 23/10/2017
    This final notice refers to breaches of PRIN 3 and Article 9 of EMIR relating to transaction reporting in the investment banking sector. We imposed a fine.
  2. Final Notice 2015: Merrill Lynch International [pdf]

    Final notices Published: 22/04/2015 Last modified: 22/04/2015
    This final notice refers to breaches of SUP related to transaction reporting in the investment bank sector. We imposed a fine.
  3. FSA Final Notice 2006: Merrill Lynch International [pdf]

    Final notices Published: 04/08/2006 Last modified: 14/06/2014
    FSA Final Notice 2006: Merrill Lynch International