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Showing 1 to 10 of 838 search results for Final Notice refers to breaches of PRIN 2 and PRIN 3 related.

1. 2022 fines

   News stories Published: 28/02/2022 Last modified: 04/01/2023
   Enforcement fines published in 2022.

2. 2019 fines

   News stories Published: 16/01/2019 Last modified: 20/01/2020
   This page contains information about enforcement fines published during the calendar year ending 2019.

3. 2020 fines

   News stories Published: 21/01/2020 Last modified: 02/12/2022
   This page contains information about enforcement fines published during the calendar year ending 2020.

4. 2023 fines

   News stories Published: 12/01/2023 Last modified: 04/04/2024
   Enforcement fines published in 2023.

5. 2021 fines

   News stories Published: 04/03/2021 Last modified: 17/12/2021
   This page contains information about enforcement fines published during the calendar year ending 2021.

6. Final Notice 2020: Goldman Sachs International (GSI) [pdf]

   Final notices Published: 22/10/2020 Last modified: 22/10/2020
   This Final Notice refers to breaches of PRIN 2 and PRIN 3 related to wholesale conduct in the investment bank sector. We imposed a financial penalty.

7. FCA Final Notice 2014: State Street [pdf]

   Final notices Published: 31/01/2014 Last modified: 07/04/2015
   This final notice refers to breaches of PRIN 6 and PRIN 7 related to wholesale conduct, unfair treatment of customers in the investment banks sector. We imposed a fine.

8. FCA Final Notice 2013: Sesame Limited [pdf]

   Final notices Published: 05/06/2013 Last modified: 07/04/2015
   This final notice refers to breaches of PRIN 3 and PRIN 9 related to mis-selling, and appointed representatives in the investment advisers and platforms sector. We imposed a fine.

9. Final Notice 2015: Moorhouse Group Limited [pdf]

   Final notices Published: 23/04/2015 Last modified: 23/04/2015
   This final notice refers to breaches of PRIN 3 and PRIN 7 related to mis-selling and culture/governance in the general insurance and protection sector. We imposed a fine.

10. FCA Final Notice 2013: Xcap Securities PLC [pdf]

    Final notices Published: 11/06/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 3, PRIN 10 related to client money/assets in the trading firms sector. We imposed a fine.