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Showing 1 to 10 of 838 search results for final notice refers to breaches of PRIN 3 and PRIN 5 related.
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2022 fines
Enforcement fines published in 2022. -
2019 fines
This page contains information about enforcement fines published during the calendar year ending 2019. -
2020 fines
This page contains information about enforcement fines published during the calendar year ending 2020. -
2023 fines
Enforcement fines published in 2023. -
2021 fines
This page contains information about enforcement fines published during the calendar year ending 2021. -
Final Notice 2020: Goldman Sachs International (GSI) [pdf]
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. -
FCA Final Notice 2014: State Street [pdf]
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. -
FCA Final Notice 2013: Sesame Limited [pdf]
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. -
Final Notice 2015: Moorhouse Group Limited [pdf]
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. -
FCA Final Notice 2013: Xcap Securities PLC [pdf]
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.