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Showing 1 to 10 of 5331 search results for final notice.

1. What we publish

   Last modified: 07/04/2020
   We publish a wide range of publications: consultations, policy papers, decision-making documents, research and other useful information. Find out more about the types of documents available.

2. Final Notice 2020: Commerzbank AG [pdf]

   Final notices Published: 17/06/2020
   This Final Notice (Commerzbank AG) refers to breaches of PRIN 3 related to financial crime in the retail bank sector. We imposed a financial penalty.|Final Notice: Commerzbank AG

3. Final Notice 2020: Redcentric PLC [pdf]

   Final notices Published: 26/06/2020
   This final notice (Redcentric PLC) refers to a breach of section 118(7) FSMA and the committal of market abuse by the publishing of false and misleading information about the financial position of an AIM-listed company. We imposed a public censure

4. 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.

5. 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.

6. Final Notice 2020: Paul Milsom [pdf]

   Final notices Published: 27/04/2020
   The reason for this action is because he lacks honesty and integrity such that he is not fit and proper to perform any functions in relation to regulated activities carried on by an authorised person, exempt person or exempt professional firm. As a consequence of the prohibition order, Mr Milsom is prohibited from performing any functions in...

7. Further Final Notice 2020: Robert Ian Shaw [pdf]

   Final notices Published: 23/03/2020
   This Final Notice (Robert Ian Shaw) refers to breaches of APER 7 and FIT related to mis-selling, lack of fitness/propriety and conflicts of interest in the Investment Adviser and Pensions sector. We imposed a financial penalty, a prohibition and withdrawal.

8. Final Notice 2015: Craig McNeil [pdf]

   Final notices Published: 22/09/2015 Last modified: 29/09/2015
   This final notice refers to breaches of APER 4 and APER 6, FIT, failing to be open and co-operative, lack of fitness/propriety and failing to act on information appropriately in the asset management sector. We imposed a fine and prohibition.

9. Final Notice 2019: Terry John Farr [pdf]

   Final notices Published: 29/05/2019
   This final notice (Terry John Farr) refers to breaches of FIT related to lack of fitness/propriety and wholesale conduct in the trading firm sector. We imposed a prohibition.

10. Final Notice 2020: Jason Taylor [pdf]

    Final notices Published: 04/06/2020
    This final notice (Jason Taylor) refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.