In this decision report we review the FCA’s action against Sonali Bank (UK) Ltd (Sonali Bank) and its money laundering reporting officer (MLRO), Steven Smith, in connection with failings identified in relation to Sonali...more
In this decision report we consider the FCA's final notice issued to Peter Francis Johnson on 19 May 2016.
?Mr Johnson was formerly the compliance officer and money laundering reporting officer (MLRO) for Keydata...more
We consider here the decision of the Upper Tribunal (Tax and Chancery Chamber) in which the tribunal upheld the FCA's decision to fine and prohibit a financial adviser, Clive Rosier, for poor record keeping and compliance...more
In this decision report, we consider the FCA’s decision notices issued to the former chief executive, sales director and compliance officer of Keydata Investment Services Ltd in connection with the sale of structured...more
In December 2014, the tribunal handed down a decision that partly upheld the FCA's findings in respect of Ms Burns in connection with her conduct as a non-executive director (CF2) of two mutual societies. The tribunal found...more
6/9/2015
/ Appeals ,
Breach of Duty ,
Civil Monetary Penalty ,
Directors ,
Failure To Disclose ,
Financial Conduct Authority (FCA) ,
Financial Statements ,
FSMA ,
Reversal ,
Sanctions ,
Trade Market Abuse ,
UK