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Showing 51 to 60 of 698 search results for final notice refers to breaches of PRIN 3 and SYSC related.
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Final Notice 2015: Aviva Investors Global Services Limited [pdf]
This final notice refers to breaches of PRIN 3, PRIN 8 and COBS related to unfair treatment of customers, conflicts of interest and culture / governance in the Asset management 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. -
Final notice 2016: Glyn Goodyear [pdf]
This final notice refers to breaches of PRIN 6, PRIN 11, COND and DISP related to failing to be open and co-operative, unfair treatment of customers and threshold conditions in the consumer credit sector. We imposed a cancellation. -
Final Notice 2022: Barclays Bank plc [pdf]
This Final Notice (Barlclays Bank plc) refers to breaches of PRIN 2 related to financial crime in the corporate banking sector. We imposed a financial penalty. -
FCA Final Notice 2014: Barclays Bank PLC [pdf]
This final notice refers to breaches of PRIN 3 and PRIN 8 related to benchmarks and conflicts of interest in the investment banks sector. We imposed a fine. -
Final notice 2016: R Sadler [pdf]
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. -
FCA Final Notice 2013: ICAP Europe Ltd [pdf]
This final notice refers to breaches of PRIN 3 and PRIN 5 related to wholesale conduct, benchmarks, and culture/governance in the trading firms sector. We imposed a fine. -
Final notice 2016: CT Capital Limited [pdf]
This final notice refers to breaches of PRIN 3 and PRIN 6 related to complaints-handling and the unfair treatment of customers in the general insurance and protection sector. We imposed a fine. -
FCA Final Notice 2014: Sesame Limited [pdf]
This final notice refers to breaches of PRIN 8 and COBS related to conflicts of interest in the life insurance and investment adviser sector. We imposed a fine. -
Final Notice 2017: Michael Wilkinson Mortgages (trading as Michael Wilkinson) [pdf]
This final notice refers to breaches of PRIN 4, PRIN 11, SUP, MIPRU and COND related to failing to be open and co-operative and threshold conditions in the general insurance and protection and mortgages sector. We imposed a cancellation.