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Showing 11 to 20 of 838 search results for Final Notice refers to breaches of PRIN 2 and PRIN 3 related.

  1. FCA Final Notice 2013: ICAP Europe Ltd [pdf]

    Final notices Published: 25/09/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 3 and PRIN 5 related to wholesale conduct, benchmarks, and culture/governance in the trading firms sector. We imposed a fine.

  2. FCA Final Notice 2014: Barclays Bank PLC [pdf]

    Final notices Published: 23/05/2014 Last modified: 07/04/2015
    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.

  3. Final notice 2016: CT Capital Limited [pdf]

    Final notices Published: 01/06/2016 Last modified: 01/06/2016
    This final notice refers to breaches of PRIN 3 and PRIN 6 related to complaints-handling and the unfair treatment of customers in the general insurance and protection sector. We imposed a fine.

  4. Final Notice 2021: Credit Suisse International, Credit Suisse Securities (Europe) Ltd, and Credit Suisse AG [pdf]

    Final notices Published: 19/10/2021
    This Final Notice refers to breaches of Prin 2 and Prin 3 related to financial crime and anti-bribery and corruption failings in the investment banking sector. We imposed a financial penalty

  5. FCA Final Notice 2014: Martin Brokers (UK) Ltd (Martins) [pdf]

    Final notices Published: 15/05/2014 Last modified: 24/02/2015
    This final notice refers to breaches of PRIN 3 and PRIN 5 related to wholesale conduct, benchmarks, and culture/governance in the trading firm. We imposed a fine.

  6. 2018 fines

    News stories Published: 08/01/2018 Last modified: 15/01/2019
    This table contains information about fines published during the calendar year ending 2018. The total amount of fines is £60,467,212.

  7. Final Notice 2023: Bastion Capital London Limited [pdf]

    Final notices Published: 13/07/2023
    This Final Notice refers to breaches of PRIN 2 and PRIN 3 related to the risk of financial crime in the trading firms sector. We imposed a financial penalty.

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

    Final notices Published: 28/10/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 6, PRIN 3, MCOB related to unfair treatment of customers, complaints-handling in the mortgages, building society sector. We imposed a fine.

  9. FCA Final Notice 2013: Christopher John Riches [pdf]

    Final notices Published: 05/06/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 1 and PRIN 11 related to lack of fitness/propriety, failing to be open and co-operative and threshold conditions in the mortgages and consumer credit sector. We imposed a fine, withdrawal and a prohibition

  10. FCA Final Notice 2013: Catalyst Investment Group Limited [pdf]

    Final notices Published: 04/10/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 1 and PRIN 6 related to financial promotions and unfair treatment of customers in the investment advisers and platforms sector. We imposed a public censure.