Search results

Showing 491 to 500 of 2125 search results for This final notice refers to breaches.

491. Final Notice 2017: David Stanley Mather [pdf]

     Final notices Published: 03/02/2017
     This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the investment adviser, mortgages and general insurance and protection sector. We imposed a cancellation.

492. Final Notice 2017: Swift Transfer Limited [pdf]

     Final notices Published: 14/03/2017
     This final notice refers to breaches of PSR related to failing to be open and cooperative in the payment services sector. We imposed a cancellation.

493. Final notice 2016: Terence Andrew Joint [pdf]

     Final notices Published: 09/05/2016 Last modified: 09/05/2016
     This final notice refers to breaches of APER 6, APER 7, FIT and CASS related to a lack of fitness/propriety and client money/assets misconduct in the general insurance and protection sector. We imposed a fine and prohibition.

494. FCA Final Notice 2013: Sadiq Exchange Limited [pdf]

     Final notices Published: 29/10/2013 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.

495. FCA Final Notice 2013: Swinton Group Limited [pdf]

     Final notices Published: 16/07/2013 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 3, PRIN 6 and PRIN 7 related to unfair treatment of customers in the general insurance and protection sector. We imposed a fine.

496. Final notice 2016: Kildare Capital (UK) Limited [pdf]

     Final notices Published: 22/07/2016 Last modified: 22/07/2016
     This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the general insurance and protection sector. We imposed a cancellation.

497. Final Notice 2022: Citigroup Global Markets Limited [pdf]

     Final notices Published: 19/08/2022
     This Final Notice refers to breaches of Principle 2 of the FCA’s Principles for Businesses and Article 16(2) of the Market Abuse Regulation related to market protection and wholesale conduct in the Investment Banking and Trading Firm sector. We

498. Final Notice 2015: Stephen Edward Bell [pdf]

     Final notices Published: 13/03/2015 Last modified: 31/03/2015
     This final notice refers to breaches of PRIN 3 (knowing concern) and FIT related to the lack of fitness/propriety, culture/governance and appointed representatives in the general insurance and protection, investment adviser and platform sector. We

499. Final notice 2016: Timothy Duncan Philip [pdf]

     Final notices Published: 13/07/2016 Last modified: 13/07/2016
     This final notice refers to breaches of APER 6 and FIT related to a lack of fitness and propriety and client money/assets in the general insurance and protection sector. We imposed a fine and prohibition.

500. FCA Final Notice 2013: JPMorgan Chase Bank, N.A. [pdf]

     Final notices Published: 19/09/2013 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 2, PRIN 3, PRIN 5, and PRIN 11 related to wholesale conduct, market protection, and failing to be open and co-operative in the investment banks sector. We imposed a fine.