Publications

Showing 1741 to 1750 of 3616 search results.

1741. 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.

1742. FCA Final Notice 2014: Citibank 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.

1743. FCA Final Notice 2014: Nick Bowyer [pdf]

      Final notices

      Published: 05/11/2014

      Last modified: 07/04/2015

      This final notice refers to breaches of APER 6 related to unfair treatment of customers, mis-selling, remuneration, and culture/governance in the payment services sector. We imposed a fine and a prohibition.

1744. FCA Final Notice 2014: Anthony Clare [pdf]

      Final notices

      Published: 05/11/2014

      Last modified: 07/04/2015

      This final notice refers to breaches of APER 6 and 7 related to unfair treatment of customers, mis-selling, remuneration, and culture/governance in the general insurance and protection sector. We imposed a public fine.

1745. FCA Final Notice 2014: Peter Halpin [pdf]

      Final notices

      Published: 05/11/2014

      Last modified: 07/04/2015

      This final notice refers to breaches of APER 7 related to unfair treatment of customers, mis-selling, remuneration, and culture/governance in the general insurance and protection sector. We imposed a fine and a prohibition

1746. FCA Final Notice 2014: Sesame Limited [pdf]

      Final notices

      Published: 29/10/2014

      Last modified: 07/04/2015

      This final notice refers to breaches of PRIN 8 and COBS related to conflicts of interest in the life insurance and investment adviser sector. We imposed a fine.

1747. FCA Final Notice 2014: Yorkshire Building Society [pdf]

      Final notices

      Published: 28/10/2014

      Last modified: 07/04/2015

      This final notice refers to breaches of PRIN 6, PRIN 3, MCOB related to unfair treatment of customers, complaints-handling in the mortgages, building society sector. We imposed a fine.

1748. FCA Final Notice 2014: Castle Wildish Chartered Surveyors [pdf]

      Final notices

      Published: 10/10/2014

      Last modified: 07/04/2015

      This final notice refers to breaches of PRIN 11 related to threshold conditions in the general insurance and protection sector. We imposed a withdrawal.

1749. FCA Final Notice 2014: Pritchard Stockbrokers Limited (In Special Administration) [pdf]

      Final notices

      Published: 09/10/2014

      Last modified: 07/04/2015

      This final notice refers to breaches of PRIN 1, PRIN 2, PRIN 10 related to client money/assets in the asset management sector. We imposed a public censure.

1750. FCA Final Notice 2014: David Gillespie [pdf]

      Final notices

      Published: 09/10/2014

      Last modified: 07/04/2015

      This final notice refers to breaches of APER 1 and APER 6 related to client money/assets in the asset management sector. We imposed a fine, withdrawal and a prohibition.