Filter results
Filter by document type
Filter by year
Sort by:

Search results

Showing 471 to 480 of 1340 search results for Final Notice refers to breaches of FIT.

  1. Final Notice 2017: Dale (83) Limited [pdf]

    Final notices Published: 02/05/2017
    This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

  2. Final Notice 2023: Mr Paul Steel [pdf]

    Final notices Published: 04/07/2023
    This Final Notice refers to breaches of APER 1, 2 and 4, and COCON 1 and 3 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We imposed a financial penalty and a prohibition.

  3. Final Notice 2022: Julius Baer International Limited [pdf]

    Final notices Published: 30/11/2022
    This Final Notice refers to breaches of PRIN 1, PRIN 3 and PRIN 11 related to failing to act with integrity, governance and failing to be open and co-operative in the in the Wealth Management and Private Banking sector. We imposed a financial penalty

  4. Final Notice 2015: Aviva Investors Global Services Limited [pdf]

    Final notices Published: 24/02/2015 Last modified: 24/02/2015
    This final notice refers to breaches of PRIN 3, PRIN 8 and COBS related to unfair treatment of customers, conflicts of interest and culture / governance in the Asset management sector. We imposed a fine.

  5. Final Notice 2019: UBS AG [pdf]

    Final notices Published: 19/03/2019
    This final notice (UBS AG) refers to breaches of SUP 17, SUP 15 and PRIN 3 related to transaction reporting failures in the investment bank sector. We imposed a fine.

  6. Final Notice 2020: Blue Gate Capital Limited [pdf]

    Final notices Published: 18/12/2020
    This Final Notice (Blue Gate Capital Limited) refers to breaches of PRIN 2 and PRIN 7 related to financial promotions in the asset management sector. We imposed a requirement to pay restitution and a public censure.

  7. Final notice 2016: Crimson Car Sales [pdf]

    Final notices Published: 14/07/2016 Last modified: 14/07/2016
    This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  8. Final Notice 2017: R Taggar [pdf]

    Final notices Published: 18/08/2017
    This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  9. FCA Final Notice 2014: Ian Charles Hannam [pdf]

    Final notices Published: 22/07/2014 Last modified: 07/04/2015
    This final notice refers to breaches of MAR related to market abuse in the investment banks sector. We imposed a fine.

  10. Final Notice 2015: Paivi Grigg [pdf]

    Final notices Published: 11/12/2015 Last modified: 17/12/2015
    This final notice refers to breaches of APER 6 related to appointed representatives, culture/governance and unfair treatment of customers in the investment adviser sector . We imposed a fine.
Related searches
Related topics