Search results
Showing 11 to 20 of 1272 search results for final notice refers to breaches of s.118.
-
2021 fines
This page contains information about enforcement fines published during the calendar year ending 2021. -
Final notice 2016: Alan Whittington [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open -
Final Notice 2022: Simon Tyson [pdf]
This Final Notice (Simon Tyson) refers to breaches of APER 7 related to the failure to ensure compliance with PRIN 3 in the trading firms sector, which led to further breaches of SUP 17, SUP 15 and Article 16 of MAR. We imposed a financial penalty -
2024 fines
Enforcement fines published in 2024. -
Final Notice 2022: BGC Brokers LP, GFI Securities Limited and GFI Brokers Limited [pdf]
This Final Notice refers to breaches of Principle 3 of the FCA’s Principles for Businesses and Article 16(2) of the Market Abuse Regulation related to market protection and wholesale conduct in the Trading Firm sector. We imposed a financial -
Final Notice 2020: Barclays [pdf]
This Final Notice (Barclays) refers to breaches of PRIN 6, PRIN 3, and CONC related to unfair treatment of customers in the Retail Banking sector. We imposed a financial penalty. -
Final Notice 2023: Equifax Limited [pdf]
This Final Notice relates to the outsourcing of data processing to an intragroup entity which experienced a data breach. The Final Notice refers to risk management failings (Principle 3) and failings in relation to treating customers fairly and -
Final Notice 2022: Stuart Rea [pdf]
This Final Notice (Stuart Rea) refers to breaches of FIT. We imposed a prohibition. -
FCA Final Notice 2013: Martin Peter Gwynn [pdf]
This final notice refers to breaches of FIT related to -
Final Notice 2023: David Nigel Lewis [pdf]
This Final Notice refers to breaches of Principles for Business 6 and 7 related to the provision of unsuitable pension transfer advice in the pensions sector. We imposed a partial prohibition. A payment of £26,800 is being made to the FSCS.