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Showing 51 to 60 of 206 search results for FCA Final Notice to Finablr plc.
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FSA Final Notice 2004: Inter-Alliance Group Plc [pdf]
FSA Final Notice 2004: Inter-Alliance Group Plc -
Final Notice 2020: Barclays [pdf]
This Final Notice (Barclays) refers to breaches of PRIN 6, PRIN 3, and CONC related to unfair treatment of customers in the Retail Banking sector. We imposed a financial penalty. -
FCA Final Notice 2014: Barclays Bank PLC [pdf]
This final notice refers to breaches of PRIN 3 and PRIN 8 related to benchmarks and conflicts of interest in the investment banks sector. We imposed a fine. -
FSA Final Notice 2003: Chase de Vere Financial Solutions plc [pdf]
FSA Final Notice 2003: Chase de Vere Financial Solutions plc -
Final Notice 2022: Santander UK Plc [pdf]
This Final Notice refers to breaches of PRIN 3 related to the risk of financial crime in the Retail Banking sector. We imposed a financial penalty. -
FCA Final Notice 2014: Santander UK plc [pdf]
This final notice refers to breaches of PRIN 7, PRIN 9 and COBS related to unfair treatment of customers in the wealth management and private banking, investment advisers and platforms sector. We imposed a fine. -
FSA Final Notice 2009: Morgan Stanley & Co International Plc (“Morgan Stanley”) [pdf]
FSA Final Notice 2009: Morgan Stanley & Co International Plc (“Morgan Stanley”) -
FSA Final Notice 2012: Barclays Bank Plc [pdf]
For the reasons set out in this Final Notice, the FSA is taking action against Barclays Bank Plc -
FSA Final Notice 2005: HSBC Bank plc [pdf]
For the reasons set out in this Final Notice, the FSA is taking action against HSBC Bank plc. -
Final Notice 2020: Redcentric PLC [pdf]
This final notice (Redcentric PLC) refers to a breach of section 118(7) FSMA and the committal of market abuse by the publishing of false and misleading information about the financial position of an AIM-listed company. We imposed a public censure