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Showing 41 to 50 of 304 search results for Final Notice refers to breaches of the Conduct of Authorised.
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Final Notice 2015: David Caplin [pdf]
This final notice refers to breaches of APER 7 and FIT, related to wholesale conduct, benchmarks, culture/governance, lack of fitness and propriety in the trading firms sector. We imposed a fine and a prohibition. -
FCA Final Notice 2014: HSBC Bank Plc [pdf]
This final notice refers to breaches of PRIN 3 related to wholesale conduct and benchmarks in the investment bank sector. We imposed a fine. -
FCA Final Notice 2014: JPMorgan Chase Bank N.A. [pdf]
This final notice refers to breaches of PRIN 3 related to wholesale conduct and benchmarks in the investment bank sector. We imposed a fine. -
Final Notice 2023: David Nigel Lewis [pdf]
This Final Notice refers to breaches of Principles for Business 6 and 7 related to the provision of unsuitable pension transfer advice in the pensions sector. We imposed a partial prohibition. A payment of £26,800 is being made to the FSCS. -
FCA Final Notice 2014: The Royal Bank of Scotland Plc [pdf]
This final notice refers to breaches of PRIN 3 related to wholesale conduct and benchmarks in the investment bank sector. We imposed a fine. -
Final Notice 2015: Jeremy Kraft [pdf]
This final notice refers to breaches of APER 6, APER 7 and FIT, related to wholesale conduct, benchmarks, culture/governance, lack of fitness and propriety in the trading firms sector. We imposed a fine and a prohibition. -
Final Notice 2023: NMC Health Plc (in Administration) [pdf]
This Final Notice refers to breaches of Article 15 EU MAR related to disseminating false and misleading information regarding NMC’s debt positions. We publish a public censure. -
Final Notice 2022: Sigma Broking Limited [pdf]
This Final Notice (Sigma Broking Limited) refers to breaches of SUP 17, SUP 15, PRIN 3 and Article 16 of MAR related to market abuse and transaction reporting failures in the trading firm sector. We imposed a financial penalty. -
Final Notice 2024: William Hofstetter [pdf]
This Final Notice (William Hofstetter) refers to a breach of APER Statement of Principle 7 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We imposed a partial prohibition. It has been agreed -
Final Notice 2024: Fast Remit Limited [pdf]
This final notice refers to breaches of PSR related to failing to be open and co-operative and payment services regulations in the payment services sector. We imposed a cancellation.