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Showing 61 to 70 of 3347 search results

  1. Decision Notice: Eric Ka Chi Siu [pdf]

    Decision notices Published: 31/05/2019
    This decision notice (Eric Ka Chi Siu) refers to breaches of the Listing Principles and Disclosure Rules and Transparency Rules in the issuer sector. Our view is that a fine should be imposed.
  2. Decision Notice: Jin-Yi Lee [pdf]

    Decision notices Published: 31/05/2019
    This decision notice (Jin-Yi Lee) refers to breaches of the Listing Principles and Disclosure Rules and Transparency Rules in the issuer sector. Our view is that a fine should be imposed.
  3. Decision Notice: Cathay International Holdings Limited [pdf]

    Decision notices Published: 31/05/2019
    This decision notice (Cathay International Holdings Limited) refers to breaches of the Listing Principles and Disclosure Rules and Transparency Rules in the issuer sector. Our view is that a fine should be imposed.
  4. Final Notice 2019: R. Raphael & Sons Plc [pdf]

    Final notices Published: 30/05/2019
    This final notice refers to breaches of PRIN 2, PRIN 3, SYSC 8 relating to culture/governance in the retail bank sector. We imposed a financial penalty.
  5. Final Notice 2019: Terry John Farr [pdf]

    Final notices Published: 29/05/2019
    This final notice (Terry John Farr) refers to breaches of FIT related to lack of fitness/propriety and wholesale conduct in the trading firm sector. We imposed a prohibition.
  6. Notice of Undertaking: Capital Financial Management Limited [pdf]

    Undertakings Published: 23/05/2019
    The FCA has published an undertaking from Capital Financial Management Limited regarding a potentially unfair term in its debt management contract. The undertaking has been provided under the Consumer Rights Act 2015 (CRA) and the Unfair Terms in Consumer Contracts Regulations 1999 (UTCCRs).
  7. Final Notice 2019: Simple Comms Limited [pdf]

    Final notices Published: 21/05/2019
    This final notice (Simple Comms Limited) 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.
  8. Final Notice 2019: Steven Hall [pdf]

    Final notices Published: 17/05/2019
    This final notice (Steven Hall) 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.
  9. Final Notice 2019: Richard Irwin [pdf]

    Final notices Published: 17/05/2019
    This final notice (Richard Irwin) 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.
  10. Final Notice 2019: Philip Harold Woods [pdf]

    Final notices Published: 17/05/2019
    This final notice (Philip Harold Woods) 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.