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Showing 481 to 490 of 2139 search results for final notice refers to breaches.

  1. FCA Final Notice 2014: Pritchard Stockbrokers Limited (In Special Administration) [pdf]

    Final notices Published: 09/10/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 1, PRIN 2, PRIN 10 related to client money/assets in the asset management sector. We imposed a public censure.

  2. Final Notice 2017: William Connolly [pdf]

    Final notices Published: 24/05/2017
    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.

  3. FCA Final Notice 2014: Codeway Finance Limited [pdf]

    Final notices Published: 14/08/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PSR related to failing to be open and co-operative in the payment services sector. We imposed a cancellation.

  4. Final Notice 2017: Marvin Patterson [pdf]

    Final notices Published: 11/04/2017
    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.

  5. Final Notice 2015: Merrill Lynch International [pdf]

    Final notices Published: 22/04/2015 Last modified: 22/04/2015
    This final notice refers to breaches of SUP related to transaction reporting in the investment bank sector. We imposed a fine.

  6. Final Notice 2017: The Encore Trading Company Limited [pdf]

    Final notices Published: 27/02/2017
    This final notice refers to breaches of PRIN11 and COND relating to failing to be open and co-operative in the consumer credit sector. We imposed a refusal.

  7. Final Notice 2021: Crosfill & Archer Claims Limited [pdf]

    Final notices Published: 28/06/2021
    This Final Notice refers to breaches of breach of the Conduct of Authorised Persons Rules 2014 (“CAPR”) related to unfair treatment of customers in the claims management sector. We imposed a financial penalty.

  8. Final Notice 2019: Bank of Scotland Plc [pdf]

    Final notices Published: 21/06/2019
    This final notice refers to breaches of PRIN 11 and SUP, relating to failing to be open and cooperative in the retail bank sector. We imposed a financial penalty.

  9. FCA Final Notice 2014: Yorkshire Building Society [pdf]

    Final notices Published: 16/06/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 7 related to financial promotions in the building society sector. We imposed a fine.

  10. Final Notice 2017: David Stephen Hancock [pdf]

    Final notices Published: 29/03/2017
    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.
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