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Showing 1 to 10 of 1502 search results for final notice refers to breaches of the Conduct.
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Final Notice 2024: Fast Remit Limited [pdf]
This final notice refers to breaches of PSR related to failing to be open and co-operative and payment services regulations in the payment services sector. We imposed a cancellation. -
Final Notice 2024: Igniter Pay UK Limited [pdf]
This Final Notice refers to a failure to carry on payment service activities. We imposed a cancellation. -
Final Notice 2020: Hall and Hanley Limited (HHL) [pdf]
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. -
2020 fines
This page contains information about enforcement fines published during the calendar year ending 2020. -
Final notice 2019: Professional Personal Claims Limited (PPC) [pdf]
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. -
2019 fines
This page contains information about enforcement fines published during the calendar year ending 2019. -
2021 fines
This page contains information about enforcement fines published during the calendar year ending 2021. -
Final Notice 2018: Guillaume Adolph [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 a prohibition. -
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.