Publications

Showing 41 to 50 of 4065 search results.

41. Final Notice 2025: The London Metal Exchange (RIE) [pdf]

    Final notices

    Published: 20/03/2025

    This Final Notice refers to breaches of the Recognised Investment Exchange and Recognised Clearing House sourcebook and the MiFID Regulatory Technical Standards relating to wholesale conduct in the Recognised Investment Exchanges sector. We imposed

42. Final Notice 2025: Ponto Tech Ltd [pdf]

    Final notices

    Published: 19/03/2025

    “This Final Notice refers to breaches of Payment Services Regulations 2017 related to the failure to meet the conditions of registration. We imposed a cancellation”.

43. Final Notice 2025: Surjan Singh  [pdf]

    Final notices

    Published: 04/03/2025

    This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the investment bank sector. We imposed a prohibition order.

44. Final Notice 2025: Andrew James Pearse [pdf]

    Final notices

    Published: 04/03/2025

    This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the investment bank sector. The FCA imposed a prohibition order.

45. Final Notice 2025: Asian Union Exchange Ltd [pdf]

    Final notices

    Published: 03/03/2025

    This Final Notice refers to a failure to comply with regulatory obligations. We imposed a cancellation.  

46. Final Notice 2025: Bancoremit Limited [pdf]

    Final notices

    Published: 28/02/2025

    This Final Notice refers to breaches of Payment Services Regulations 2017 related to the failure to meet the conditions of registration. We imposed a cancellation.

47. Final Notice 2025: David Robert Cooke [pdf]

    Final notices

    Published: 28/02/2025

    This Final Notice refers to breaches of FIT related to a lack of fitness/propriety. We imposed a prohibition.

48. Final Notice 2025: Samsky Pay Ltd [pdf]

    Final notices

    Published: 20/02/2025

    “This final notice refers to breaches of Payment Services Regulations 2017 related to a failure to meet the conditions of registration. We imposed a cancellation”.

49. Final Notice 2025: Mako Financial Markets Partnership LLP [pdf]

    Final notices

    Published: 18/02/2025

    This Final Notice refers to breaches of PRIN 2 and PRIN 3 related to the risk of financial crime in the trading firm sector. The FCA imposed a financial penalty.

50. Final Notice 2025: DEAL2GO LTD [pdf]

    Final notices

    Published: 14/02/2025

    This final notice refers to a cancellation pursuant to powers under section 55J of FSMA in the consumer credit sector.