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Showing 911 to 920 of 4701 search results for final notice refers.

911. Final Notice 2023: London Capital & Finance plc (in administration) [pdf]

     Final notices Published: 11/10/2023
     This Final Notice refers to breaches of CoBS related to financial promotions in the Issuer sector. We imposed a public censure.

912. Final Notice 2015: Lloyds Bank plc, Bank of Scotland plc and Black Horse Limited (together Lloyds Banking Group “LBG”) [pdf]

     Final notices Published: 05/06/2015 Last modified: 05/06/2015
     This final notice refers to breaches of PRIN 6 related to unfair treatment of customers and complaints-handling in the retail bank sector. We imposed a fine.

913. Final Notice 2018: Brett Andrew Billings [pdf]

     Final notices Published: 21/09/2018
     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.

914. Final Notice 2017: Richard Telfryn Jones [pdf]

     Final notices Published: 16/11/2017
     This final notice refers to breaches of FIT related to a lack of fitness/propriety in the General Insurance and Protection sector. We imposed a prohibition.

915. Final Notice 2020: Corrado Abbattista [pdf]

     Final notices Published: 15/12/2020
     This Final Notice refers to breaches of FIT and MAR related to market abuse in the trading firm sector. We imposed a prohibition and financial penalty. File updated to include autotag accessibility requirement.

916. Final Notice 2022: Citigroup Global Markets Limited [pdf]

     Final notices Published: 19/08/2022
     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

917. Final Notice 2017: Mrs Colette Chiesa [pdf]

     Final notices Published: 12/10/2017
     This final notice refers to breaches of APER 4 and FIT related to a lack of fitness/propriety and failing to be open and co-operative in the investment adviser sector. We imposed a prohibition, withdrawal and fine.

918. Final Notice 2018: Michael George Hutley [pdf]

     Final notices Published: 14/06/2018
     This final notice refers to breaches of Principle 11 and SUP related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

919. Final Notice 2020: AGK Cars and Son [pdf]

     Final notices Published: 01/10/2020 Last modified: 01/10/2020
     This final notice refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the consumer credit sector. We imposed a cancellation.

920. Final Notice 2015: Anthony Rendell Boyd Wills [pdf]

     Final notices Published: 05/03/2015 Last modified: 05/03/2015
     This final notice refers to breaches of APER 4 related to failure to be open and cooperative with the Authority. We imposed a fine.