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Showing 1 to 10 of 5251 search results for final notice.

1. 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.

2. 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.

3. Further Final Notice 2020: Lloyd Arnold Pope [pdf]

   Final notices Published: 23/03/2020
   This Final Notice (Lloyd Arnold Pope) 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.

4. 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.

5. 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.

6. 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.

7. 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.

8. FCA Final Notice 2014: UBS AG [pdf]

   Final notices Published: 12/11/2014 Last modified: 07/04/2015
   This final notice refers to breaches of PRIN 3 related to wholesale conduct and benchmarks in the investment bank sector. We imposed a fine.

9. Final Notice 2020: Neil Bartlett [pdf]

   Final notices Published: 08/04/2020
   This Final Notice refers to failure to meet the criteria in FIT. We imposed a prohibition.

10. Final notice 2020: Moneybarn Limited [pdf]

    Final notices Published: 17/02/2020
    This final notice (Moneybarn Limited) refers to breaches of PRIN 6, PRIN 7 and the CONC rules related to the unfair treatment of customers in the consumer credit sector. We imposed a financial penalty.