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Showing 51 to 60 of 210 search results for FCA Final Notice to Finablr plc.

51. Final Notice 2020: Barclays [pdf]

    Final notices Published: 15/12/2020
    This Final Notice (Barclays) refers to breaches of PRIN 6, PRIN 3, and CONC related to unfair treatment of customers in the Retail Banking sector. We imposed a financial penalty.

52. FSA Final Notice 2006: Harvey Parker Stenning Plc [pdf]

    Final notices Published: 10/03/2006 Last modified: 14/06/2014
    FSA Final Notice 2006: Harvey Parker Stenning Plc

53. FSA Final Notice 2004: Inter-Alliance Group Plc [pdf]

    Final notices Published: 01/10/2004 Last modified: 14/06/2014
    FSA Final Notice 2004: Inter-Alliance Group Plc

54. FCA Final Notice 2014: Barclays Bank PLC [pdf]

    Final notices Published: 23/05/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 3 and PRIN 8 related to benchmarks and conflicts of interest in the investment banks sector. We imposed a fine.

55. FSA Final Notice 2003: Chase de Vere Financial Solutions plc [pdf]

    Final notices Published: 01/12/2003 Last modified: 14/06/2014
    FSA Final Notice 2003: Chase de Vere Financial Solutions plc

56. Final Notice 2022: Santander UK Plc [pdf]

    Final notices Published: 09/12/2022
    This Final Notice refers to breaches of PRIN 3 related to the risk of financial crime in the Retail Banking sector. We imposed a financial penalty.

57. FCA Final Notice 2014: Santander UK plc [pdf]

    Final notices Published: 26/03/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 7, PRIN 9 and COBS related to unfair treatment of customers in the wealth management and private banking, investment advisers and platforms sector. We imposed a fine.

58. FSA Final Notice 2009: Morgan Stanley & Co International Plc (“Morgan Stanley”) [pdf]

    Final notices Published: 13/05/2009 Last modified: 14/06/2014
    FSA Final Notice 2009: Morgan Stanley & Co International Plc (“Morgan Stanley”)

59. FSA Final Notice 2012: Barclays Bank Plc [pdf]

    Final notices Published: 27/06/2012 Last modified: 31/05/2013
    For the reasons set out in this Final Notice, the FSA is taking action against Barclays Bank Plc

60. FSA Final Notice 2005: HSBC Bank plc [pdf]

    Final notices Published: 02/12/2011 Last modified: 30/05/2013
    For the reasons set out in this Final Notice, the FSA is taking action against HSBC Bank plc.