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Showing 491 to 500 of 2125 search results for This final notice refers to breaches.
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Final Notice 2017: David Stanley Mather [pdf]
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. -
Final Notice 2017: Swift Transfer Limited [pdf]
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. -
Final notice 2016: Terence Andrew Joint [pdf]
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. -
FCA Final Notice 2013: Sadiq Exchange Limited [pdf]
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. -
FCA Final Notice 2013: Swinton Group Limited [pdf]
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. -
Final notice 2016: Kildare Capital (UK) Limited [pdf]
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. -
Final Notice 2022: Citigroup Global Markets Limited [pdf]
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 -
Final Notice 2015: Stephen Edward Bell [pdf]
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 -
Final notice 2016: Timothy Duncan Philip [pdf]
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. -
FCA Final Notice 2013: JPMorgan Chase Bank, N.A. [pdf]
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.