Search results

Showing 1 to 10 of 4700 search results for final notice refers.

1. Final Notice 2024: Clive Harris Mongelard [pdf]

   Final notices Published: 12/07/2024
   “This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.” 

2. FCA Final Notice 2014: UBS AG [pdf]

   Final notices Published: 12/11/2014 Last modified: 07/04/2015
   This final notice refers to breaches of PRIN 3 related to wholesale conduct and benchmarks in the investment bank sector. We imposed a fine.

3. FCA Final Notice 2014: JPMorgan Chase Bank N.A. [pdf]

   Final notices Published: 12/11/2014 Last modified: 07/04/2015
   This final notice refers to breaches of PRIN 3 related to wholesale conduct and benchmarks in the investment bank sector. We imposed a fine.

4. FCA Final Notice 2014: The Royal Bank of Scotland Plc [pdf]

   Final notices Published: 12/11/2014 Last modified: 07/04/2015
   This final notice refers to breaches of PRIN 3 related to wholesale conduct and benchmarks in the investment bank sector. We imposed a fine.

5. FCA Final Notice 2013: Independent Asset Management U.K. Limited [pdf]

   Final notices Published: 04/09/2013 Last modified: 07/04/2015
   This final notice refers to breaches of PRIN 11 related to threshold conditions in the general insurance and protection sector. We imposed a OIVOP and a cancellation.

6. Final Notice 2015: John Joseph Financial Services Limited [pdf]

   Final notices Published: 30/09/2015 Last modified: 06/10/2015
   This final notice refers to breaches of PRIN 9, SYSC, COB and COBS related to mis-selling in the investment adviser sector. We imposed a fine.

7. FCA Final Notice 2014: HSBC Bank Plc [pdf]

   Final notices Published: 12/11/2014 Last modified: 07/04/2015
   This final notice refers to breaches of PRIN 3 related to wholesale conduct and benchmarks in the investment bank sector. We imposed a fine.

8. Final Notice 2018: Khalsa (Bradford) Credit Union Limited [pdf]

   Final notices Published: 29/03/2018
   This final notice refers to a cancellation of permission pursuant to exercising powers under section 55J of FSMA in the credit union sector.

9. Final Notice 2015: Craig McNeil [pdf]

   Final notices Published: 22/09/2015 Last modified: 29/09/2015
   This final notice refers to breaches of APER 4 and APER 6, FIT, failing to be open and co-operative, lack of fitness/propriety and failing to act on information appropriately in the asset management sector. We imposed a fine and prohibition.

10. FCA Final Notice 2014: Citibank N.A. [pdf]

    Final notices Published: 12/11/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 3 related to wholesale conduct and benchmarks in the investment bank sector. We imposed a fine.