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Showing 461 to 470 of 2098 search results for This Final Notice refers to breaches.

  1. Final Notice 2017: Limited2Art Ltd [pdf]

    Final notices Published: 19/10/2017
    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.

  2. 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.

  3. FCA Final Notice 2014: Yorkshire Building Society [pdf]

    Final notices Published: 16/06/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 7 related to financial promotions in the building society sector. We imposed a fine.

  4. FCA Final Notice 2013: Ingram Graham Limited (in Creditors’ Voluntary Liquidation) [pdf]

    Final notices Published: 21/08/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 11 related to threshold conditions in the investment advisors & platforms sector. We imposed a cancellation.

  5. FCA Final Notice 2014: Best Value 4 U Limited [pdf]

    Final notices Published: 19/05/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PSR related to failing to be open and co-operative in the payment systems sector. We imposed a cancellation.

  6. FCA Final Notice 2014: Codeway Finance Limited [pdf]

    Final notices Published: 14/08/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PSR related to failing to be open and co-operative in the payment services sector. We imposed a cancellation.

  7. FCA Final Notice 2014: Lloyds Bank plc and Bank of Scotland plc [pdf]

    Final notices Published: 28/07/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 3 and PRIN 5 related to wholesale conduct, benchmarks, and conflicts of interest in the retail banks sector. We imposed a fine.

  8. FCA Final Notice 2014: Peter Thomas Carron [pdf]

    Final notices Published: 16/09/2014 Last modified: 07/04/2015
    This final notice refers to breaches of APER 1 related to unfair treatment of customers, and lack of fitness/propriety in the investment adviser sector. We imposed a fine and a prohibition.

  9. Final Notice 2019: Freddy David [pdf]

    Final notices Published: 15/05/2019
    This final notice refers to breaches of FIT related to financial crime (Freddy David), client money/assets and a lack of fitness and propriety in the investment adviser sector. We imposed a prohibition.

  10. Final Notice 2018: Leonard Bradley [pdf]

    Final notices Published: 01/03/2018
    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.
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