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Showing 91 to 100 of 1538 search results for final notice refers to breaches of the Conduct.
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FCA Final Notice 2013: JPMorgan Chase Bank, N.A. [pdf]
This final notice refers to breaches of PRIN 2, PRIN 3, PRIN 5, and PRIN 11 related to wholesale conduct, market protection, and failing to be open and co-operative in the investment banks sector. We imposed a fine. -
Final notice 2024: Etemaad Money Transfere Ltd [pdf]
This final notice refers to breaches of Payment Services Regulations 2017 related to a failure to meet the conditions of registration. We imposed a cancellation. -
Final Notice 2023: LCUK Finance Ltd [pdf]
This final notice refers to a failure to be open and co-operative with the Authority PRIN 11. -
Final Notice 2023: EI 1XCHANGE Limited [pdf]
This Final Notice (EI 1XCHANGE Limited) refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the Consumer Credit sector. We imposed a cancellation. -
Final Notice 2022: Robert Ward [pdf]
This Final Notice (Robert Ward) refers to breaches of APER 1 and FIT related to a lack of fitness/propriety, mis-selling and failing to be open and co-operative in the investment adviser and pensions sector. We imposed a prohibition and financial -
Final Notice 2020: Small Batch Coffee Ltd [pdf]
This final notice (Small Batch Coffee Ltd) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation. -
Final Notice 2018: Neil Danziger [pdf]
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 prohibition. -
Final Notice 2023: Denis Lee Morgan [pdf]
This Final Notice refers to breaches of FIT related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We imposed a prohibition and withdrawal of approvals. -
Final Notice 2022: Mohammed Ataur Rahman Prodhan [pdf]
This final notice refers to a breach of APER 6, and being knowingly concerned in a breach of PRIN 3 in relation to financial crime controls in the retail bank sector. We have imposed a public censure. -
Final Notice 2022: Aiden Henderson [pdf]
This Final Notice (Aiden Henderson) refers to breaches of APER 1 and FIT related to a lack of fitness/propriety and mis-selling in the investment adviser and pensions sector. We imposed a prohibition and financial penalty.