Publications

Showing 1691 to 1700 of 3616 search results.

1691. Final Notice 2015: Kevin Allen [pdf]

      Final notices

      Published: 09/06/2015

      Last modified: 09/06/2015

      This final notice refers to breaches of APER 1 & FIT related to lack of fitness/propriety in the Mortgages sector. We imposed a prohibition and a public censure.

1692. Final Notice 2015: Lloyds Bank plc, Bank of Scotland plc and Black Horse Limited (together Lloyds Banking Group “LBG”) [pdf]

      Final notices

      Published: 05/06/2015

      Last modified: 05/06/2015

      This final notice refers to breaches of PRIN 6 related to unfair treatment of customers and complaints-handling in the retail bank sector. We imposed a fine.

1693. Final Notice 2015: Paul Reynolds [pdf]

      Final notices

      Published: 20/05/2015

      Last modified: 20/05/2015

      This final notice refers to breaches of APER 1 and FIT related to mis-selling and failing to be open and co-operative in the investment advisor sector. We imposed a fine and a prohibition.

1694. Final Notice 2015: Barclays Bank PLC [pdf]

      Final notices

      Published: 20/05/2015

      Last modified: 20/05/2015

      This final notice refers to breaches of PRIN 3 related to wholesale conduct and benchmarks in the investment bank sector. We imposed a fine.

1695. Final Notice 2015: Noraminvest UK Limited [pdf]

      Final notices

      Published: 12/05/2015

      Last modified: 12/05/2015

      This final notice refers to breaches of principle 11 and TC related to threshold conditions and failing to be open and co-operative in the investment advisor sector. We imposed a cancellation.

1696. Final Notice 2015: Moorhouse Group Limited [pdf]

      Final notices

      Published: 23/04/2015

      Last modified: 23/04/2015

      This final notice refers to breaches of PRIN 3 and PRIN 7 related to mis-selling and culture/governance in the general insurance and protection sector. We imposed a fine.

1697. Final Notice 2015: Deutsche Bank AG [pdf]

      Final notices

      Published: 23/04/2015

      Last modified: 23/04/2015

      This final notice refers to breaches of PRIN 5, PRIN 3 and PRIN 11 related to wholesale conduct, benchmarks, failing to be open and co-operative and culture/governance in the investment bank sector. We imposed a fine.

1698. Final Notice 2015: Merrill Lynch International [pdf]

      Final notices

      Published: 22/04/2015

      Last modified: 22/04/2015

      This final notice refers to breaches of SUP related to transaction reporting in the investment bank sector. We imposed a fine.

1699. Final Notice 2015: Stephen Allen [pdf]

      Final notices

      Published: 16/04/2015

      Last modified: 16/04/2015

      This final notice refers to breaches of FIT related to lack of fitness and propriety and failing to be open and co-operative in the general insurance and protection sector. We imposed a prohibition.

1700. Final Notice 2015: The Bank of New York Mellon London Branch / The Bank of New York Mellon (International) Ltd [pdf]

      Final notices

      Published: 15/04/2015

      Last modified: 15/04/2015

      This final notice refers to breaches of PRIN 10 and CASS related to client assets in the investment bank sector. We imposed a fine.