FCA
0
Jeremy Kraft Fined £105,000 by the Financial Conduct Authoroty
0

For breaching Statement of Principle 6 and 7.

0
Reckitt Benckiser Group Plc Fined £539,800 by the Financial Conduct Authority
0

For breaching listing rule 9.2.8 (LR9.2.8R), Principle 1 and 2, Disclosure Rule and Transparency Rule 3.1.4R(2) and DTR 3.1.5R.

0
Execution Noble & Company Limited (ENCL) Fined £231,000 by the Financial Conduct Authority
0

For breaches of the listing rules in relation to sponsors.

0
Royal Bank of Scotland Plc, National Westminster Bank Plc and Ulster Bank Ltd fIned £42,000,000 by the Financianl Conduct Authority
0

For breaches of Principle 3 between 1 August 2010 and 10 July 2012 ("Relevant Period").

0
Chase de Vere Independent Financial Adviser Limited (Formerly AWD Chase de Vere Limited) Fined £560,000 by the Financial Conduct Authority
0

For breaches of Principles 3 and 7, SYSC 3.2.6R and Certain applicable rules set out in COB and COBS.

0
Citibank N.A Fined £225,575,000 by the Financial Conduct Authority
0

For failing to take reasonable care to organise and control its affairs responsibly and effectively with adequate risk management systems in relation to G10 ...

0
HSBC Bank Plc Fined £216,363,000 by the Financial Conduct Authority
0

For failing to take reasonable care to organise and control its affairs responsibly and effectively with adequate risk management systems in relation to G10 ...

0
JPMorgan Chase Bank Fined £222,166,000 by the Financial Conduct Authority
0

For failing to take reasonable care to organise and control its affairs responsibly and effectively with adequate risk management systems in relation to G10 ...

0
The Royal Bank of Scotland Plc Fined £217,000,000 by the Financial Conduct Authority
0

For failing to take reasonable care to organise and control its affairs responsibly and effectively with adequate risk management systems in relation to G10 ...

0
UBS AG Fined £233,814,000 by the Financial Conduct Authority
0

For failing to take reasonable care to organise and control its affairs responsibly and effectively with adequate risk management systems in relation to G10 ...

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