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Showing 1 to 10 of 148 search results for Final Notice issued to Goenka.

1. FCA decides to fine Tariq Carrimjee in relation to market abuse committed by Rameshkumar Goenka in October 2010

   Press Releases Published: 08/08/2013 Last modified: 17/09/2013
   The Financial Conduct Authority (FCA) has today published a Decision Notice for Tariq Carrimjee of Somerset Asset Management LLP in relation to assisting Goenka.

2. FCA fines compliance officer and broker whose actions enabled market abuse to be committed in October 2010

   Press Releases Published: 08/08/2013 Last modified: 17/09/2013
   The Financial Conduct Authority (FCA) has fined David Davis, senior partner and compliance officer of Paul E Schweder Miller & Co, £70,258, and Vandana Parikh, a broker at the same firm, £45,673, for failing to act with due skill, care and

3. Tribunal partly upholds the Financial Conduct Authority’s decision to fine Tariq Carrimjee for assisting a client to commit market abuse

   Press Releases Published: 06/03/2015 Last modified: 06/03/2015
   It remains open to the parties to appeal this judgment. This decision follows the Final Notices issued to Mr Goenka, Mrs Parikh and Mr Davis in relation to the same matter. ... The Final Notices forand Parikh.

4. FCA issued Final Notices against Cathay International Holdings Limited, its CEO and Finance Director

   Press Releases Published: 25/07/2019 Last modified: 23/10/2023
   Today, the FCA has issued Final Notices against all three.

5. FSA Final Notice 2011: Rameshkumar Satyanarayan Goenka [pdf]

   Final notices Published: 17/10/2011 Last modified: 14/06/2014
   For the reasons set out in this Final Notice, the FSA is taking action against Rameshkumar Satyanarayan Goenka

6. Enforcement

   About us How we regulate Published: 22/04/2016 Last modified: 22/10/2021
   Find out more about FCA enforcement powers, including how we protect consumers and act against firms and individuals that don’t meet our standards.

7. 2023 fines

   News stories Published: 12/01/2023 Last modified: 04/04/2024
   Enforcement fines published in 2023.

8. FCA Final Notice to Finablr plc

   Statements Published: 25/02/2022 Last modified: 25/02/2022
   We have issued a Final Notice to the firm in accordance with section 390(1) of the Financial Services and Markets Act.

9. 2019 fines

   News stories Published: 16/01/2019 Last modified: 20/01/2020
   This page contains information about enforcement fines published during the calendar year ending 2019.

10. Final Notice 2022: NWUS Ltd [pdf]

    Final notices Published: 04/03/2022
    We have issued a Final Notice to NWUS Ltd, refusing their application to carry on regulated activities as mentioned.