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Final Notice 2024: Mr Ahmed [pdf]
The final notice refers to a failure to seek prior FCA approval when acquiring and disposing control of a regulated entity contrary to section 191(F)(1) and section 191(D) of FSMA. The proposed controller demonstrated a further lack of due care, -
Final Notice 2025: Arian Financial LLP [pdf]
This Final Notice refers to breaches of PRIN 2 and PRIN 3 related to the risk of financial crime in the trading firm sector. This case was referred to the Upper Tribunal and a judgment was issued on 11 November 2024. We imposed a financial penalty. -
Final Notice 2025: Easy Exchange Ltd [pdf]
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 -
Final Notice 2024: John Cotton [pdf]
This final notice refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority PRIN 11 in the advisers and intermediaries’ sector. We imposed a cancellation. -
Final Notice 2024: Biilz UK Ltd [pdf]
This Final Notice refers to breaches of the Electronic Money Regulations in the Payment Services sector. We imposed a cancellation. -
Final Notice 2024: Philip Pryke [pdf]
This Final Notice (Philip Pryke) refers to breaches of APER 1 and FIT related to the provision of unsuitable pension transfer advice in the pensions sector. We imposed a prohibition and a financial penalty. -
Final Notice 2024: András Sebők [pdf]
This Final Notice refers to breaches of the Market Abuse Regulations by a PDMR for trading during closed periods and for trade disclosure failings. -
Final Notice 2024: Travis Lloyd Klein [pdf]
This Final Notice (Travis Lloyd Klein) refers to breaches of COCON (ICR1) and FIT related to failing to act with integrity and a lack of fitness/propriety in the investment bank sector. We imposed a prohibition and public censure. A financial -
Final Notice 2024: Macquarie Bank Limited, London Branch [pdf]
This Final Notice (Macquarie Bank Limited, London Branch (MBL)) refers to breach of PRIN 3 related to wholesale conduct in the investment bank sector. We imposed a financial penalty of £13,031,400. -
Final Notice 2024: Barclays plc [pdf]
This Final Notice refers to breaches of listing rules relating to failure to disclose information in the issuer sector. We imposed a financial penalty.