Search results

Showing 401 to 410 of 2125 search results for This final notice refers to breaches.

401. Final Notice 2023: Amigo Loans Ltd [pdf]

     Final notices Published: 14/02/2023
     This Final Notice refers to breaches of Principle 2 (skill, care and diligence), Principle 3 (management and control) and Principle 6 (customers’ interests) related to failure to conduct adequate affordability checks in the Consumer Credit sector.

402. 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

403. Final Notice 2015: Kenneth George Carver [pdf]

     Final notices Published: 30/03/2015 Last modified: 30/03/2015
     This final notice refers to breaches of MAR related to market abuse in the issuer sector. We imposed a fine.

404. Final notice 2016: Elizabeth Anne Parry [pdf]

     Final notices Published: 01/09/2016
     This final notice refers to breaches of APER 1 and FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a fine and prohibition.

405. Final Notice 2018: Jonathan Mathew [pdf]

     Final notices Published: 02/11/2018
     This final notice refers to breaches of FIT related to benchmarks, a lack of fitness/propriety and wholesale conduct in the retail bank sector. We imposed a prohibition.

406. FCA Final Notice 2014: Mohammed Tazul Islam [pdf]

     Final notices Published: 23/09/2014 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 11 related to threshold conditions in the mortgages sector. We imposed a cancellation.

407. Final Notice 2017: Tejoori Limited [pdf]

     Final notices Published: 14/12/2017
     This final notice refers to breaches of the Market Abuse Regulation related to market abuse in the issuer sector. We imposed a fine.

408. FCA Final Notice 2013: Hyde Gardens Limited [pdf]

     Final notices Published: 21/06/2013 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.

409. Final Notice 2017: Stuart Watkins Cars [pdf]

     Final notices Published: 14/03/2017
     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.

410. FCA Final Notice 2013: Clydesdale Bank PLC [pdf]

     Final notices Published: 26/09/2013 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 6 related to unfair treatment of customers in the retail banks sector. We imposed a fine and redress.