Search results

Showing 51 to 60 of 2061 search results for This Final Notice refers to breaches.

51. FCA Final Notice 2014: Deutsche Bank AG (“Deutsche”) [pdf]

    Final notices Published: 28/08/2014 Last modified: 07/04/2015
    This final notice refers to breaches of SUP 17 related to transaction reporting in the investment bank sector. We imposed a fine.

52. Final Notice 2018: Metlife Ltd [pdf]

    Final notices Published: 14/06/2018
    This final notice refers to breaches of Principle 4, COND and MIPRU related to failing to in the general insurance and protection sector. We imposed a cancellation.

53. Final Notice 2017: M V Autos [pdf]

    Final notices Published: 23/06/2017
    This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

54. Final Notice 2021: Premier FX Limited [pdf]

    Final notices Published: 25/02/2021
    This Final Notice refers to breaches of the Payment Services Regulations in the Payment Services sector. We imposed a public censure.

55. FCA Final Notice 2013: Coöperatieve Centrale Raiffeisen–Boerenleenbank B.A. (Rabobank) [pdf]

    Final notices Published: 29/10/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 2, PRIN 3, and PRIN 5 related to benchmarks in the investment banks sector. We imposed a fine.

56. FCA Final Notice 2013: Minona LLP [pdf]

    Final notices Published: 02/07/2013 Last modified: 07/04/2015
    This Final Notice refers to breaches of PRIN 11 related to threshold conditions in the asset management sector. We imposed a cancellation.

57. FCA Final Notice 2013: Foneshield (UK) Limited [pdf]

    Final notices Published: 26/07/2013 Last modified: 07/04/2015
    This Final Notice refers to breaches of PRIN 11 related to threshold conditions in the general insurance and protection sector. We imposed a cancellation.

58. Final Notice 2015: Leadgen (UK) Limited [pdf]

    Final notices Published: 26/01/2015 Last modified: 26/01/2015
    This final notice refers to breaches of Principle 11 related to threshold conditions breaches in the consumer credit sector. We imposed a cancellation.

59. Final notice 2016: Aspect Garage Ltd [pdf]

    Final notices Published: 05/05/2016 Last modified: 05/05/2016
    This final notice refers to breaches of COND, PRIN 11, failing to be open and co-operative. We imposed a refusal.

60. Final notice 2016: Mr Paul White [pdf]

    Final notices Published: 12/04/2016 Last modified: 12/04/2016
    This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment bank sector. We imposed a prohibition and public censure.