Publications

Showing 1 to 4 of 4 search results for Merrill Lynch.

1. Enforcement data – Annual Report 2019/20

   Data

   Published: 10/09/2020

   Last modified: 10/09/2020

   This FCA enforcement data for the year 2019/20 forms part of the FCA's annual report 2019/20.

2. Final Notice 2017: Merrill Lynch International [pdf]

   Final notices

   Published: 23/10/2017

   This final notice refers to breaches of PRIN 3 and Article 9 of EMIR relating to transaction reporting in the investment banking sector. We imposed a fine.

3. Final Notice 2015: Merrill Lynch International [pdf]

   Final notices

   Published: 22/04/2015

   Last modified: 22/04/2015

   This final notice refers to breaches of SUP related to transaction reporting in the investment bank sector. We imposed a fine.

4. FSA Final Notice 2006: Merrill Lynch International [pdf]

   Final notices

   Published: 04/08/2006

   Last modified: 14/06/2014

   FSA Final Notice 2006: Merrill Lynch International