Publications

Showing 1701 to 1710 of 3616 search results.

1701. Final Notice 2015: Focus Wealth Management LLP [pdf]

      Final notices

      Published: 14/04/2015

      Last modified: 14/04/2015

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

1702. Final Notice 2015: Clydesdale Bank Plc [pdf]

      Final notices

      Published: 14/04/2015

      Last modified: 14/04/2015

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

1703. Final Notice 2015: Robert Stephan Addison [pdf]

      Final notices

      Published: 31/03/2015

      Last modified: 31/03/2015

      This final notice refers to breaches of APER 1 and APER 7 related to conflicts of interests and lack of fitness/propriety in the investment advisor sector. We imposed a fine, withdrawal and prohibition.

1704. Final Notice 2015: Robin Farrell [pdf]

      Final notices

      Published: 31/03/2015

      Last modified: 31/03/2015

      This final notice refers to breaches of APER 1 and APER 7 related to conflicts of interests and lack of fitness/propriety in the investment advisor sector. We imposed a fine, withdrawal and prohibition.

1705. Final Notice 2015: Arch Financial Products LLP [pdf]

      Final notices

      Published: 31/03/2015

      Last modified: 31/03/2015

      This final notice refers to breaches of PRIN 1, PRIN 3, PRIN 8, SYSC and COB related to conflicts of interests in the investment advisor sector. We imposed a public censure.

1706. Final Notice 2015: Kenneth George Carver [pdf]

      Final notices

      Published: 30/03/2015

      Last modified: 30/03/2015

      This final notice refers to breaches of MAR related to market abuse in the issuer sector. We imposed a fine.

1707. Final Notice 2015: Peter Charles Legerton [pdf]

      Final notices

      Published: 20/03/2015

      Last modified: 20/03/2015

      This final notice refers to breaches of APER 7 and FIT related to mis-selling, lack of fitness/propriety, and conflicts of interests in the investment adviser sector. We imposed a public censure, withdrawal, and a prohibition.

1708. Final Notice 2015: Alpha Accident Claims Limited [pdf]

      Final notices

      Published: 20/03/2015

      Last modified: 20/03/2015

      This final notice refers to breaches of Threshold Conditions, PRIN 11, failing to be open and co-operative in the General Insurance Intermediary sector. We imposed a cancellation.

1709. Final Notice 2015: Alberto Micalizzi [pdf]

      Final notices

      Published: 19/03/2015

      Last modified: 19/03/2015

      This final notice refers to breaches of APER 1 related to client money/assets, and lack of fitness/propriety in the asset management sector. We imposed a fine and a prohibition.

1710. Final Notice 2015: Glocal Capital Partners Limited [pdf]

      Final notices

      Published: 19/03/2015

      Last modified: 19/03/2015

      This final notice refers to breaches of Threshold Conditions, PRIN 11 related to failing to be open and co-operative in the Designated Investment Business sector. We imposed a cancellation.