Decision Notices News Today

The FCA plans to streamline its approach to enforcement and publicise investigations at an early stage. On 27 February 2024, the FCA published a Consultation Paper...

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<div data-gtm-vis-first-on-screen-2204011_350="85" class="copy-block__call-out"><span>Banque Havilland, Edmund Rowland and Vladimir Bolelyy have referred their Decision Notices to the Upper Tribunal where they will each present their case. David Weller has not referred his Decision Notice to the Upper Tribunal. David Rowland, who has been given third party rights, has also referred all 4 Decision Notices to the Upper Tribunal and will present hi...

Penalties of $5,600 and $ 8,400 were imposed on the two firms

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<li>This is the largest fine ever imposed on an individual by the DFSA</li>
<li>The DFSA’s actions relate to Mr Naqvi’s knowing involvement in Abraaj’s misconduct</li>
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Investegate announcements from Financial Conduct, FCA fines Metro Bank Plc £10 million

<p><span>The FCA has fined Metro Bank PLC £10,002,300 for breaching the Listing Rules by publishing incorrect information to investors.</span></p>

<p><span>The FCA has published Decision Notices given to Diego Urra, Jorge Lopez Gonzalez and Poojan Sheth, three bond traders, for market abuse.</span></p>

<p><strong><span style="background-color: #ffcc00;">Louise Whitestone, Thomas Seiler and Gustavo Raitzin have referred their Decision Notices to the Upper Tribunal where they will each present their respective cases. The Upper Tribunal will then determine whether to dismiss the respective references or remit them to the FCA with a direction to reconsider and reach a decision in accordance with the findings of the Upper Tribunal. Any findings in the individuals&rsq...

The FCA has fined Julius Baer International Limited (JBI), an investment advisory and wealth management firm, £18m ($21.4m).

The Dubai Financial Services Authority (DFSA) has imposed a fine of $1,120,000 (Dh4,113,200) on the DIFC branch of Bank of Singapore Limited for a number o..