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Market Watch 67
Newsletter on market conduct and transaction reporting issues. -
FCA publishes Decision Notice against former CEO of Sonali Bank (UK) Ltd for AML failings
The Financial Conduct Authority (FCA) has today published a Decision Notice in respect of Mohammad Ataur Rahman Prodhan, the former Chief Executive Officer of Sonali Bank (UK) Limited (SBUK), fining him £76,400. -
Business interruption insurance
Find out about how we obtained legal clarity on business interruption (BI) insurance during the coronavirus (Covid-19) crisis. -
FCA publishes Decision Notice against former Worldspreads CEO for market misconduct
The Financial Conduct Authority (FCA) has today published a Decision Notice in respect of Conor Foley, the former Chief Executive Officer of Worldspreads, fining him £658,900 for market abuse and banning him from performing any roles linked to -
FCA fines Metro Bank PLC £10 million and publishes Decision Notices for two of its former executive directors
Metro Bank PLC fined £10,002,300 for breaching the Listing Rules by publishing incorrect information to investors. -
Final Notice 2023: SBL Legal Solutions Limited [pdf]
The FCA publishes a Final Notice referring to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the retail lending, retail investments, general insurance & protection and -
FCA and PRA publish final changes to enhance enforcement decision-making processes
The Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) have today published final changes in a Policy Statement (PS) aimed at strengthening the transparency and effectiveness of their enforcement decision-making processes -
FCA fines Julius Baer International Limited £18m and publishes decision notices for three individuals
We have fined Julius Baer International Limited £18,022,500 for failing to conduct its business with integrity, failing to take reasonable care to organise and control its affairs and failing to be open and cooperative with the FCA. -
Our refusal process
Understand the process if the FCA refuses your application for authorisation. -
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.