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Showing 1 to 10 of 1533 search results for final notice refers to breaches of the Conduct.

1. 2020 fines

   News stories Published: 21/01/2020 Last modified: 02/12/2022
   This page contains information about enforcement fines published during the calendar year ending 2020.

2. 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.

3. Final Notice 2020: Hall and Hanley Limited (HHL) [pdf]

   Final notices Published: 21/01/2020
   This Final Notice refers to breaches of the Conduct of Authorised Persons Rules 2014 (“CAPR”) in relation to misleading consumers to claims and unfair treatment of consumers in the claims management sector. We imposed a financial penalty.

4. Final notice 2019: Professional Personal Claims Limited (PPC) [pdf]

   Final notices Published: 17/12/2019
   This final notice refers to breaches of the Conduct of Authorised Persons Rules 2014 in relation to misleading consumers to claims in the claims management companies sector. We imposed a financial penalty.

5. 2021 fines

   News stories Published: 04/03/2021 Last modified: 17/12/2021
   This page contains information about enforcement fines published during the calendar year ending 2021.

6. 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.

7. Final Notice 2021: Crosfill & Archer Claims Limited [pdf]

   Final notices Published: 28/06/2021
   This Final Notice refers to breaches of breach of the Conduct of Authorised Persons Rules 2014 (“CAPR”) related to unfair treatment of customers in the claims management sector. We imposed a financial penalty.

8. FCA Final Notice 2014: HSBC Bank Plc [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. FCA Final Notice 2014: JPMorgan Chase Bank N.A. [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.

10. Final Notice 2018: Guillaume Adolph [pdf]

    Final notices Published: 05/03/2018
    This final notice refers to breaches of PRIN 5 and FIT related to benchmarks, lack of fitness/propriety and wholesale conduct in the investment bank sector. We imposed a fine and a prohibition.