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Showing 671 to 680 of 1069 search results for This final notice refers to breaches of MAR related.

  1. Final Notice: The Dental Plan Ltd [pdf]

    Final notices Published: 21/09/2017
    This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit and general insurance and protection sectors. We imposed a cancellation.

  2. Final notice 2016: Bar Professions Limited (in liquidation) [pdf]

    Final notices Published: 01/02/2016 Last modified: 01/02/2016
    This final notice refers to breaches of PRIN 2, PRIN 7 and ICOBS related to appointed representatives and failing to act on information appropriately in the general insurance and protection sector. We imposed a public censure.

  3. Final Notice 2015: Clydesdale Bank Plc [pdf]

    Final notices Published: 14/04/2015 Last modified: 14/04/2015
    This final notice refers to breaches of PRIN 6 and DISP related to unfair treatment of customers and complaints handling in the retail banks sector. We imposed a fine.

  4. 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.

  5. Final Notice 2017: Syphony Nominees Limited [pdf]

    Final notices Published: 21/09/2017
    This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in the general insurance and protection sector. We imposed a cancellation.

  6. Final Notice: Mark Samuel Motors Limited [pdf]

    Final notices Published: 13/10/2016
    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.

  7. FCA Final Notice 2014: Peter Halpin [pdf]

    Final notices Published: 05/11/2014 Last modified: 07/04/2015
    This final notice refers to breaches of APER 7 related to unfair treatment of customers, mis-selling, remuneration, and culture/governance in the general insurance and protection sector. We imposed a fine and a prohibition

  8. Final notice 2016: Broom Boat Sales Limited [pdf]

    Final notices Published: 06/09/2016
    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.

  9. FCA Final Notice 2014: Arnold Gary Eber [pdf]

    Final notices Published: 27/02/2014 Last modified: 07/04/2015
    This final notice refers to breaches of FIT related to failing to be open and co-operative, and lack of fitness/propriety in the investment advisers and platforms sector. We imposed a public censure and a prohibition.

  10. Final notice 2020: Intignis Media Ltd [pdf]

    Final notices Published: 21/05/2020
    This final notice (Intignis Media Ltd) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.