Publications

Showing 1801 to 1810 of 3616 search results.

1801. FCA Final Notice 2014: Daniel James Plunkett [pdf]

      Final notices

      Published: 23/05/2014

      Last modified: 07/04/2015

      This final notice refers to breaches of FIT, APER 1 and APER 3 related to lack of fitness and propriety, conflicts of interest in the investment banks sector. We imposed a prohibition and a fine.

1802. FCA Final Notice 2014: Barclays Bank PLC [pdf]

      Final notices

      Published: 23/05/2014

      Last modified: 07/04/2015

      This final notice refers to breaches of PRIN 3 and PRIN 8 related to benchmarks and conflicts of interest in the investment banks sector. We imposed a fine.

1803. FCA Final Notice 2014: Derick Anthony Whewall [pdf]

      Final notices

      Published: 21/05/2014

      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 cancellation.

1804. FCA Final Notice 2014: Hamd Enterprises Limited [pdf]

      Final notices

      Published: 19/05/2014

      Last modified: 07/04/2015

      This final notice refers to breaches of PSR related to failing to be open and co-operative in the payment systems sector. We imposed a cancellation.

1805. FCA Final Notice 2014: Habibur Rahman [pdf]

      Final notices

      Published: 19/05/2014

      Last modified: 07/04/2015

      This final notice refers to breaches of PSR related to failing to be open and co-operative in the payment systems sector. We imposed a cancellation.

1806. FCA Final Notice 2014: Best Value 4 U Limited [pdf]

      Final notices

      Published: 19/05/2014

      Last modified: 07/04/2015

      This final notice refers to breaches of PSR related to failing to be open and co-operative in the payment systems sector. We imposed a cancellation.

1807. FCA Final Notice 2014: World Link UK Limited [pdf]

      Final notices

      Published: 19/05/2014

      Last modified: 07/04/2015

      This final notice refers to breaches of PSR related to failing to be open and co-operative in the payment systems sector. We imposed a cancellation.

1808. FCA Final Notice 2014: Doditel Limited [pdf]

      Final notices

      Published: 19/05/2014

      Last modified: 07/04/2015

      This final notice refers to breaches of PSR related to failing to be open and co-operative in the payment systems sector. We imposed a cancellation.

1809. FCA Final Notice 2014: Martin Brokers (UK) Ltd (Martins) [pdf]

      Final notices

      Published: 15/05/2014

      Last modified: 24/02/2015

      This final notice refers to breaches of PRIN 3 and PRIN 5 related to wholesale conduct, benchmarks, and culture/governance in the trading firm. We imposed a fine.

1810. FCA Final Notice 2014: Catalyst Fund Management Limited [pdf]

      Final notices

      Published: 08/05/2014

      Last modified: 07/04/2015

      This final notice refers to breaches of PRIN 11 related to threshold conditions in the investment advisor sector. We imposed a cancellation.