Publications

Showing 1731 to 1740 of 3616 search results.

1731. FCA Final Notice 2014: Jonathan Paul Burrows [pdf]

      Final notices

      Published: 15/12/2014

      Last modified: 15/12/2014

      This final notice refers to breaches of FIT relating to a lack of fitness/propriety in the asset management sector. We imposed a prohibition.

1732. FCA Final Notice 2014: Michael Stanley Hirst [pdf]

      Final notices

      Published: 12/12/2014

      Last modified: 12/12/2014

      This final notice refers to breaches of FIT related to lack of fitness/propriety in the investment advisor sector. We imposed a prohibition.

1733. FCA Final Notice 2014: Leanne Marie Nicholson [pdf]

      Final notices

      Published: 12/12/2014

      Last modified: 12/12/2014

      This final notice refers to breaches of FIT related to lack of fitness/propriety in the investment advisor sector. We imposed a prohibition.

1734. FCA Final Notice 2014: Imperial Escrow Limited (In Provisional Liquidation) [pdf]

      Final notices

      Published: 05/12/2014

      Last modified: 05/12/2014

      This final notice refers to breaches of PSR related to payment services regulations in the payment services sector. We imposed a cancellation.

1735. FCA Final Notice 2014: Coffin Insurance Services [pdf]

      Final notices

      Published: 25/11/2014

      Last modified: 26/11/2014

      This Final Notice refers to breaches of Principle 11 related to threshold conditions in the general insurance and protection sector. We imposed a cancellation.

1736. FCA Final Notice 2014: Royal Bank of Scotland Plc, National Westminster Bank Plc and Ulster Bank Ltd [pdf]

      Final notices

      Published: 20/11/2014

      Last modified: 07/04/2015

      This final notice refers to breaches of PRIN 3 related to unfair treatment of customers in the retail banks sector. We imposed a fine.

1737. FCA Final Notice 2014: Chase de Vere Independent Financial Advisers Limited (formerly AWD Chase de Vere Limited) [pdf]

      Final notices

      Published: 17/11/2014

      Last modified: 08/05/2015

      This final notice refers to breaches of PRIN 3, PRIN 7, SYSC, and COBS related to mis-selling in the investment adviser sector. We imposed a redress.

1738. 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.

1739. 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.

1740. 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.