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Final Notice: Steven Smith [pdf]
This final notice refers to breaches of APER 6 and PRIN 3 (knowingly concerned) related to financial crime and a lack of fitness/propriety in the retail bank sector. We imposed a fine and prohibition. -
FCA Final Notice 2013: ICAP Europe Ltd [pdf]
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. -
Final Notice 2016: Richard Barca [pdf]
This final notice refers to breaches of PRIN11 and COND relating to failing to be open and co-operative in the consumer credit sector. We imposed a refusal. -
Final Notice 2017: Seclo Limited [pdf]
This final notice refers to breaches of PRIN 11 and COND related to failing to be open and co-operative in the consumer credit sector. We imposed a refusal. -
Final Notice 2021: Credit Suisse International, Credit Suisse Securities (Europe) Ltd, and Credit Suisse AG [pdf]
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 -
FCA Final Notice 2014: Mohammed Tazul Islam [pdf]
This final notice refers to breaches of PRIN 11 related to threshold conditions in the mortgages sector. We imposed a cancellation. -
Final Notice 2017: Jamie Harwood T/A MJ HARWOOD [pdf]
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. -
Final Notice 2017: David Samuel Watters [pdf]
This final notice refers to breaches of APER 6 related to a lack of competence in the pensions sector. -
Final notice 2016: AKV Vehicles Limited [pdf]
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. -
Final notice 2016: Super Fast Loan Limited [pdf]
This final notice refers to breaches of COND and CONC related to failing to be open and co-operative in the consumer credit sector. We imposed a refusal.