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Showing 491 to 500 of 1210 search results for This final notice refers to breaches of PRIN 3 related.

  1. Final Notice 2018: Guillaume Adolph [pdf]

    Final notices Published: 05/03/2018
    This final notice refers to breaches of PRIN 5 and FIT related to benchmarks, lack of fitness/propriety and wholesale conduct in the investment bank sector. We imposed a fine and a prohibition.

  2. Final Notice 2020: Perfectalign Limited [pdf]

    Final notices Published: 08/06/2020
    This final notice (Perfectalign Limited) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

  3. 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.

  4. Final Notice 2019: E & N Ritchie [pdf]

    Final notices Published: 16/10/2019
    This final notice (E & N Ritchie) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

  5. FCA Final Notice 2014: Credit Suisse International [pdf]

    Final notices Published: 16/06/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 7 and COBS related to financial promotions, mis-selling, remuneration in the investment banks sector. We imposed a fine.

  6. Final Notice: Sonali Bank (UK) Ltd [pdf]

    Final notices Published: 12/10/2016
    This final notice refers to breaches of PRIN 3 and PRIN 11 related to culture/governance, failing to be open and co-operative and financial crime in the retail bank sector. We imposed a fine and suspension/restriction.

  7. Final Notice 2019: Henderson Investment Funds Limited [pdf]

    Final notices Published: 20/11/2019
    This final notice refers to breaches of PRIN 3 and PRIN 6 related to the unfair treatment of customers in the Asset Management sector. We imposed a financial penalty.

  8. Final Notice 2020: HMS Cars Ltd [pdf]

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

  9. Final Notice 2018: C2 Group Ltd [pdf]

    Final notices Published: 08/05/2018
    This final notice (C2 Group Ltd) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  10. FCA Final Notice 2014: Forex Capital Markets Limited (FXCM Ltd) and FXCM Securities Limited (FXCM Securities) [pdf]

    Final notices Published: 26/02/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 6, PRIN 11, and COBS related to unfair treatment of customers, and failing to be open and co-operative in the trading firms sector. We imposed a fine and redress.