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Showing 431 to 440 of 1216 search results for Final Notice refers to breaches of PRIN 3 related.

431. FCA Final Notice 2013: ICAP Europe Ltd [pdf]

     Final notices Published: 25/09/2013 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 3 and PRIN 5 related to wholesale conduct, benchmarks, and culture/governance in the trading firms sector. We imposed a fine.

432. FCA Final Notice 2014: Sesame Limited [pdf]

     Final notices Published: 29/10/2014 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 8 and COBS related to conflicts of interest in the life insurance and investment adviser sector. We imposed a fine.

433. Final notice 2016: CT Capital Limited [pdf]

     Final notices Published: 01/06/2016 Last modified: 01/06/2016
     This final notice refers to breaches of PRIN 3 and PRIN 6 related to complaints-handling and the unfair treatment of customers in the general insurance and protection sector. We imposed a fine.

434. Final notice 2016: Pacific Continental Securities (UK) Limited (In Liquidation) [pdf]

     Final notices Published: 15/03/2016 Last modified: 17/03/2016
     This final notice refers to breaches of Prin 4, Cond and IPRU-INV related to threshold conditions in the investment advisor sector. We imposed a cancellation.

435. 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.

436. FCA Final Notice 2013: Policy Administration Services Limited [pdf]

     Final notices Published: 03/07/2013 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 3 and 6 related to complaints-handling, and the unfair treatment of customers in the general insurance and protection sector. We imposed a fine.

437. Final Notice 2021: Credit Suisse International, Credit Suisse Securities (Europe) Ltd, and Credit Suisse AG [pdf]

     Final notices Published: 19/10/2021
     This Final Notice refers to breaches of Prin 2 and Prin 3 related to financial crime and anti-bribery and corruption failings in the investment banking sector. We imposed a financial penalty

438. Final Notice 2020: Small Batch Coffee Ltd [pdf]

     Final notices Published: 21/05/2020
     This final notice (Small Batch Coffee Ltd) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

439. Final Notice 2021: Sapien Capital Limited [pdf]

     Final notices Published: 06/05/2021
     This Final Notice (Sapien Capital Limited) refers to breaches of PRIN 2 and PRIN 3 related to the risk of financial crime in the trading firms sector. We imposed a financial penalty.

440. Final Notice 2015: Deutsche Bank AG [pdf]

     Final notices Published: 23/04/2015 Last modified: 23/04/2015
     This final notice refers to breaches of PRIN 5, PRIN 3 and PRIN 11 related to wholesale conduct, benchmarks, failing to be open and co-operative and culture/governance in the investment bank sector. We imposed a fine.