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Showing 11 to 20 of 4130 search results for final notice issued.
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Enforcement
Find out more about FCA enforcement powers, including how we protect consumers and act against firms and individuals that don’t meet our standards. -
Statement on Achilles Macris
certain matters set out in the final notice issued to JPMorgan Chase Bank N.A (JP Morgan) on 19 September 2013 which related to the ‘London Whale’ trades. ... Such rights are known as ‘third party rights’. The FCA did not give Mr Macris third -
Statement on Achilles Macris
On 19 May 2015 the Court of Appeal ruled that the FCA should have given Mr Macris the right to make representations on certain matters set out in the final notice ... issued to JPMorgan Chase Bank N.A (JP Morgan) on 19 September 2013 which related to the -
Final Notice 2022: NWUS Ltd [pdf]
We have issued a Final Notice to NWUS Ltd, refusing their application to carry on regulated activities as mentioned. -
Our refusal process
Understand the process if the FCA refuses your application for authorisation. -
Final Notice 2020: Aviva plc [pdf]
This Final Notice (Aviva plc) refers to breaches of Listing Rule 1.3.3R and Transparency Rule 1A.3.2R related to Listing rules/DTR breaches in the General Insurance and Protection sector. We issued a public censure. File updated with accessibility -
UK SFTR news
Read FCA news updates on the UK Securities Financing Transactions Regulation (UK SFTR). -
FCA issues Final Notice to former CEO for anti-money laundering failings
We have publicly censured Mohammad Ataur Rahman Prodhan, the former Chief Executive Officer of Sonali Bank (UK) Limited (SBUK) for anti-money laundering (AML) failings. -
Making and receiving payments
Find out about your rights when payments are made to and from your bank account, and how long it should take to make or receive a payment. -
2024 fines
Enforcement fines published in 2024.