Filter results
Category
Filter by document type
Document type
Filter by year
Sort by:

Search results

Showing 21 to 30 of 5761 search results for final notice.

  1. Final Notice 2021: Credit Suisse International, Credit Suisse Securities (Europe) Ltd, and Credit Suisse AG [pdf]

    Final notices Published: 19/10/2021
    This Final Notice refers to breaches of Prin 2 and Prin 3 related to financial crime and anti-bribery and corruption failings in the investment banking sector. We imposed a financial penalty
  2. Redacted Final Notice: 2008 [pdf]

    Final notices Published: 14/10/2008
    Redacted Final Notice: 2008
  3. Final Notice 2019: Prindiville Plc [pdf]

    Final notices Published: 25/07/2019
    This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in
  4. FCA Final Notice 2014: Royal Bank of Scotland Plc, National Westminster Bank Plc and Ulster Bank Ltd [pdf]

    Final notices Published: 20/11/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 3 related to unfair treatment of customers in the retail banks sector. We imposed a fine.
  5. Final Notice 2019: Leon Caush [pdf]

    Final notices Published: 27/03/2019
    This final notice 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.
  6. Final Notice 2019: Gary Jackson [pdf]

    Final notices Published: 16/09/2019
    This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.
  7. Final Notice 2019: Gary Nuttall [pdf]

    Final notices Published: 28/02/2019
    This final notice (Gary Nuttall) 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.
  8. Final Notice 2019: Douglas Eynon [pdf]

    Final notices Published: 28/02/2019 Last modified: 28/02/2019
    This final notice 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.
  9. Final Notice 2019: Alan Coppock [pdf]

    Final notices Published: 16/04/2019
    This final notice (Alan Coppock) 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.
  10. Final Notice 2019: Carb Cycles [pdf]

    Final notices Published: 16/04/2019
    This final notice (Carb Cycles) 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.