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Showing 1 to 10 of 4499 search results for final notice refers.
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FCA Final Notice 2014: UBS AG [pdf]
This final notice refers to breaches of PRIN 3 related to wholesale conduct and benchmarks in the investment bank sector. We imposed a fine. -
FCA Final Notice 2014: JPMorgan Chase Bank N.A. [pdf]
This final notice refers to breaches of PRIN 3 related to wholesale conduct and benchmarks in the investment bank sector. We imposed a fine. -
FCA Final Notice 2014: The Royal Bank of Scotland Plc [pdf]
This final notice refers to breaches of PRIN 3 related to wholesale conduct and benchmarks in the investment bank sector. We imposed a fine. -
FCA Final Notice 2013: Independent Asset Management U.K. Limited [pdf]
This final notice refers to breaches of PRIN 11 related to threshold conditions in the general insurance and protection sector. We imposed a OIVOP and a cancellation. -
Final Notice 2015: John Joseph Financial Services Limited [pdf]
This final notice refers to breaches of PRIN 9, SYSC, COB and COBS related to mis-selling in the investment adviser sector. We imposed a fine. -
FCA Final Notice 2014: HSBC Bank Plc [pdf]
This final notice refers to breaches of PRIN 3 related to wholesale conduct and benchmarks in the investment bank sector. We imposed a fine. -
Final Notice 2018: Khalsa (Bradford) Credit Union Limited [pdf]
This final notice refers to a cancellation of permission pursuant to exercising powers under section 55J of FSMA in the credit union sector. -
Final Notice 2015: Craig McNeil [pdf]
This final notice refers to breaches of APER 4 and APER 6, FIT, failing to be open and co-operative, lack of fitness/propriety and failing to act on information appropriately in the asset management sector. We imposed a fine and prohibition. -
FCA Final Notice 2014: Citibank N.A. [pdf]
This final notice refers to breaches of PRIN 3 related to wholesale conduct and benchmarks in the investment bank sector. We imposed a fine. -
Final Notice 2018: Polmaise Community Credit Union Limited [pdf]
This final notice refers to breaches of Principle 11 related to failing to be open and co-operative in the credit union sector. We imposed a cancellation.