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Showing 111 to 120 of 206 search results for Final Notice to Finablr plc.

111. Final Notice 2019: Bank of Scotland Plc [pdf]

     Final notices Published: 21/06/2019
     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.

112. Final notice 2016: Analyst Investment Management Plc [pdf]

     Final notices Published: 09/08/2016 Last modified: 09/08/2016
     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.

113. Final Notice 2015: The Co-operative Bank plc [pdf]

     Final notices Published: 11/08/2015 Last modified: 11/08/2015
     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.

114. FCA Final Notice 2014: Barclays Bank PLC - September 2014 [pdf]

     Final notices Published: 23/09/2014 Last modified: 07/04/2015
     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.

115. FCA Final Notice 2014: Royal Bank of Scotland Plc, National Westminster Bank Plc and Ulster Bank Ltd [pdf]

     Final notices Published: 20/11/2014 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 3 related to unfair treatment of customers in the retail banks sector. We imposed a fine.

116. Final Notice 2018: Tesco Personal Finance plc [pdf]

     Final notices Published: 01/10/2018
     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.

117. Final Notice 2018: Stallion Financial Investments Plc [pdf]

     Final notices Published: 05/02/2018
     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

118. Market Watch 67

     Newsletters Published: 28/05/2021 Last modified: 28/05/2021
     Newsletter on market conduct and transaction reporting issues.

119. Financial crime resources

     Published: 08/02/2024 Last modified: 22/03/2024
     Find publications about our Financial Crime Public Commitment, including news, speeches, podcasts, events and external publications.

120. FCA censures London Capital & Finance plc

     Press Releases Published: 11/10/2023 Last modified: 11/10/2023
     The Financial Conduct Authority (FCA) has censured London Capital & Finance (LCF) for its unfair and misleading financial promotions of minibonds.