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Showing 41 to 50 of 1252 search results for Final Notice refers to breaches of PRIN 2 and PRIN.

41. 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.

42. Final Notice 2015: Merlin Loans and Mortgages Limited [pdf]

    Final notices Published: 14/09/2015 Last modified: 14/09/2015
    This final notice refers to breaches of PRIN 6, PRIN 11, DISP and COND related to threshold conditions, failing to be open and co-operative, and unfair treatment of customers in the consumer credit sector. We imposed a cancellation.

43. Final Notice 2023: ED&F Man Capital Markets Limited [pdf]

    Final notices Published: 05/06/2023
    This Final Notice refers to breaches of PRIN 2 and PRIN 3 related to wholesale conduct in the trading firm sector. Our view is that a financial penalty should be imposed.

44. Final Notice 2020: LJ Financial Planning Ltd [pdf]

    Final notices Published: 10/12/2020
    This Final Notice refers to breaches of PRIN 8 and PRIN 9 related to conflicts of interest and failure to provide suitable advice in the Pensions sector. The FCA imposed a financial penalty.

45. Final Notice 2021: Alsford Page & Gems Limited [pdf]

    Final notices Published: 20/04/2021
    This Final Notice refers to breaches of PRIN 3 and PRIN 6 related to Appointed representative sales of extended warranty insurance products in the General Insurance and Protection sector. We imposed a public censure.

46. FCA Final Notice 2014: Invesco Asset Management Limited, Invesco Fund Managers Limited [pdf]

    Final notices Published: 28/04/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 3, PRIN 7 and COLL related to unfair treatment of customers in the asset management sector. We imposed a fine.

47. 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.

48. Final Notice 2017: Capita Financial Managers Limited [pdf]

    Final notices Published: 10/11/2017
    This final notice refers to breaches of PRIN 2 and PRIN 7 related to financial promotions in the asset management sector. We imposed a public censure.

49. Final Notice: Sonali Bank (UK) Ltd [pdf]

    Final notices Published: 12/10/2016
    This final notice refers to breaches of PRIN 3 and PRIN 11 related to culture/governance, failing to be open and co-operative and financial crime in the retail bank sector. We imposed a fine and suspension/restriction.

50. FCA Final Notice 2014: Forex Capital Markets Limited (FXCM Ltd) and FXCM Securities Limited (FXCM Securities) [pdf]

    Final notices Published: 26/02/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 6, PRIN 11, and COBS related to unfair treatment of customers, and failing to be open and co-operative in the trading firms sector. We imposed a fine and redress.