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Violation Tracker UK Individual Case

Company: Execution Noble & Company Limited
Penalty: £231,000
Year: 2014
Date: 18 December, 2014
Offence Group: financial offences
Offence Type: investor protection violation
Violation Description: Execution Noble & Company paid a £231,000 fine in settlement of a finding by the FCA that the company had failed to inform the FCA about changes to its Sponsor Team, which is required to be approved by the FCA as competent to provide services for clients in the premium listed equity market.
Action Type: agency action
Settlement Type: settlement of FCA Decision
Agency: Financial Conduct Authority
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