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Showing 111 to 120 of 206 search results for FCA Final Notice to Finablr plc.
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Final notice 2016: Analyst Investment Management Plc [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the investment adviser sector. We imposed a cancellation. -
FCA Final Notice 2014: Barclays Bank PLC - September 2014 [pdf]
This final notice refers to breaches of PRIN 3, PRIN 10, and CASS related to client money/assets in the investment banks sector. We imposed a fine. -
Final Notice 2015: The Co-operative Bank plc [pdf]
This final notice refers to breaches of Listing rules, for making false and misleading statements, and PRIN 11 for failing to be open and co-operative, by Co-operative Bank, a bank in the retail and commercial banking sector. -
Final Notice 2019: Bank of Scotland Plc [pdf]
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. -
FCA Final Notice 2014: Royal Bank of Scotland Plc, National Westminster Bank Plc and Ulster Bank Ltd [pdf]
This final notice refers to breaches of PRIN 3 related to unfair treatment of customers in the retail banks sector. We imposed a fine. -
Final Notice 2018: Tesco Personal Finance plc [pdf]
This final notice refers to Tesco Bank’s breach of FCA Principle 2 for failing to exercise due skill, care and diligence in protecting its personal current account holders against a cyber attack. We imposed a financial penalty of £16.4 million. -
Final Notice 2018: Stallion Financial Investments Plc [pdf]
This final notice refers to an application for Part 4A authorisation (‘the Application’) by a firm in respect of the regulated activities subject to the Application. Due to concerns about the firm’s ability to satisfy and continue to satisfy -
Business interruption insurance
Find out about how we obtained legal clarity on business interruption (BI) insurance during the coronavirus (Covid-19) crisis. -
FCA Final Notice 2013: Lloyds TSB Bank plc and Bank of Scotland plc [pdf]
This final notice refers to breaches of PRIN 3 related to mis-selling, remuneration, and culture/governance in the retail banks sector. We imposed a fine. -
Market Watch 67
Newsletter on market conduct and transaction reporting issues.