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Showing 151 to 160 of 6879 search results for final notice.

151. FCA issues statement of objections to 3 money transfer firms

     Press Releases Published: 25/01/2023 Last modified: 25/01/2023
     In a statement of objections, the Financial Conduct Authority (FCA) alleges that Dollar East (International Travel & Money Transfer) Ltd, Hafiz Bros Travel & Money Transfer Limited, and LCC Trans-Sending Limited (including its parent company Small

152. 2023 fines

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

153. CP23/3: Financial Services Compensation Scheme – Management Expenses Levy Limit 2023/24

     Consultation papers Published: 12/01/2023 Last modified: 12/01/2023
     The FCA and PRA consult on proposals for the FSCS's annual Management Expenses Levy Limit (MELL) for 2023/24.

154. CP23/2: Streamlining our rules on structured digital reporting of financial statements

     Consultations Consultation papers Published: 12/01/2023 Last modified: 28/07/2023
     The FCA consulted on changes to streamline transparency rules for certain companies with securities admitted to UK regulated markets to prepare their annual financial report in a specific web browser format (XHTML), and to present the financial

155. Final Notice 2023: Al Rayan Bank PLC [pdf]

     Final notices Published: 11/01/2023
     This Final Notice refers to breaches of Principle 3 related to Financial Crime in the Retail Bank sector. We imposed a Financial Penalty.

156. FCA penalises Al Rayan Bank PLC for anti-money laundering failures 

     Press Releases Published: 11/01/2023 Last modified: 11/01/2023
     We have fined Al Rayan Bank for failing to put in place adequate anti-money laundering (AML) controls.

157. Final Notice 2023: Guaranty Trust Bank (UK) Limited [pdf]

     Final notices Published: 10/01/2023
     This Final Notice (Guaranty Trust Bank (UK) Limited) refers to breaches of PRIN 3 related to the risk of financial crime in the wholesale banking sector. We imposed a financial penalty.

158. FCA fines Guaranty Trust Bank (UK) Limited £7.6 million for further failures in its anti-money laundering systems and controls

     Press Releases Published: 10/01/2023 Last modified: 10/01/2023
     The Financial Conduct Authority (FCA) has fined Guaranty Trust Bank (UK) Limited (GT Bank) £7,671,800 for serious weaknesses in its anti-money laundering (AML) systems and controls between October 2014 and July 2019.

159. Final Notice 2022: Eternal Peace Funeral Plans [pdf]

     Final notices Published: 23/12/2022
     This final notice (Eternal Peace Funeral Plans Ltd) refers to a failure to satisfy threshold conditions (COND) in relation to a firm within the Funeral Plans sector. We refused the firm’s application for authorisation.

160. Final Notice 2022: Lyonnaise De Banque [pdf]

     Final notices Published: 21/12/2022
     This final notice (Lyonnaise De Banque) refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative (PRIN 11) in relation to a firm within the TPR. We imposed a cancellation.