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Showing 1 to 10 of 3785 search results for final notice refers.

  1. 2021 fines

    News stories Published: 04/03/2021 Last modified: 19/10/2021
    This page contains information about enforcement fines published during the calendar year ending 2021.
  2. Final Notice 2021: Omar Hussein [pdf]

    Final notices Published: 15/10/2021
    This Final Notice refers to breaches of APER 1 and 7 related to failing to act with integrity and failing to demonstrate that suitable advice was given in the pensions sector. We imposed a financial penalty, withdrawal and prohibition.
  3. 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
  4. Final Notice 2021: Christopher Gerald Thomas Brown [pdf]

    Final notices Published: 13/10/2021
    This final notice refers to the time-limited approval of Christopher Gerald Thomas Brown to perform the SMF5 role at Accord Mortgages Limited.
  5. Final Notice 2021: Shaffarat Parvez [pdf]

    Final notices Published: 08/10/2021
    This Final Notice (Shaffarat Parvez) refers to a failure to satisfy the Fit and Proper Test (FIT). We imposed a prohibition.
  6. Final Notice 2015: John Joseph Financial Services Limited [pdf]

    Final notices Published: 30/09/2015 Last modified: 06/10/2015
    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.
  7. 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.
  8. 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.
  9. FCA Final Notice 2014: The Royal Bank of Scotland 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.
  10. 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.