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Showing 2731 to 2740 of 7095 search results for final notice.

  1. Final Notice 2023: SBL Legal Solutions Limited [pdf]

    Final notices Published: 19/09/2023
    The FCA publishes a Final Notice referring to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the retail lending, retail investments, general insurance & protection and

  2. Final Notice 2023: Bastion Capital London Limited [pdf]

    Final notices Published: 13/07/2023
    This Final Notice refers to breaches of PRIN 2 and PRIN 3 related to the risk of financial crime in the trading firms sector. We imposed a financial penalty.

  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. Final Notice 2017: Mohammed Sharif Miah [pdf]

    Final notices Published: 11/12/2017
    This final notice refers to breaches of PRIN 11 and COND related to failing to be open and co-operative in the consumer credit sector. We imposed a refusal.

  5. Final Notice 2021: Sunrise Brokers LLP [pdf]

    Final notices Published: 12/11/2021
    This Final Notice (Sunrise Brokers LLP) refers to breaches of PRIN 2 and PRIN 3 related to the risk of financial crime in the trading firms sector. We imposed a financial penalty

  6. Final Notice 2015: Mountbatten Financial Limited [pdf]

    Final notices Published: 05/08/2015 Last modified: 01/09/2015
    This final notice refers to breaches of PRIN 11, related to threshold conditions and failing to be open and co-operative in the General Insurance and Protection sector. We imposed a cancellation.

  7. Final notice 2015: Threadneedle Asset Management Limited [pdf]

    Final notices Published: 15/12/2015 Last modified: 15/12/2015
    This final notice concerns an asset management sector firm’s breach of PRIN 3 for failing to put in place adequate controls in the fixed income area of its front office and PRIN 11 for providing inaccurate information to the regulator and for

  8. Final Notice 2019: Jin-Yi Lee [pdf]

    Final notices Published: 25/07/2019
    This final notice (Jin-Yi Lee) refers to breaches of the Listing Principles and Disclosure Rules and Transparency Rules in the issuer sector. We imposed a financial penalty.

  9. [pdf]

    Final notices Published: 02/12/2011 Last modified: 30/05/2013

  10. Final Notice 2021: David Nicholas King [pdf]

    Final notices Published: 22/07/2021
    This Final Notice (David Nicholas King) refers to FIT relating to a lack of honesty and integrity in the investment advisory sector. We imposed a prohibition.
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