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Enforcement by action · Partial prohibition

FCA partial prohibition

1 partial prohibition is recorded here, covering 1 individual. Each one links to a plain-English summary and, where one exists, the published notice or announcement.

Actions
1
Fines imposed
–
Firms and individuals
1
Latest
23 Jul 2025
  1. James Edward Staley
    23 Jul 2025 · IRN JXS02208
    Partial prohibition

    On 23 July 2025 the FCA issued a Final Notice prohibiting James Edward Staley from performing any senior management or significant influence function in relation to any authorised person, exempt person or exempt professional firm, and imposed a financial penalty of £1,107,306.92. The FCA found Staley breached Individual Conduct Rule 1 (which requires individuals to act with integrity), Individual Conduct Rule 3 (which requires individuals to be open and cooperative with the FCA and other regulators) and Senior Manager Conduct Rule 4. A copy of the Final Notice is published on the FCA website (link below).

    AI summary
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