Publications

Showing 1811 to 1820 of 3616 search results.

1811. FCA Final Notice 2014: Autopromotions Insurance Services 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 general insurance and protection sector. We imposed a cancellation.

1812. FCA Final Notice 2014: John Christopher Hughes [pdf]

      Final notices

      Published: 29/04/2014

      Last modified: 07/04/2015

      This final notice refers to breaches of FIT related to market protection, wholesale conduct, and lack of fitness/propriety in the investment bank. We imposed a prohibition.

1813. FCA Final Notice 2014: Invesco Asset Management Limited, Invesco Fund Managers Limited [pdf]

      Final notices

      Published: 28/04/2014

      Last modified: 07/04/2015

      This final notice refers to breaches of PRIN 3, PRIN 7 and COLL related to unfair treatment of customers in the asset management sector. We imposed a fine.

1814. FCA Final Notice 2014: Timothy Adrian Hughes [pdf]

      Final notices

      Published: 17/04/2014

      Last modified: 07/04/2015

      This final notice refers to breaches of APER 7 related to unfair treatment of customers, conflicts of interest, and lack of fitness/propriety in the investment advisors and platforms sector. We imposed a prohibition, withdrawal, and public censure.

1815. FCA Final Notice 2014: Andrew Charles Rees [pdf]

      Final notices

      Published: 17/04/2014

      Last modified: 07/04/2015

      This final notice refers to breaches of APER 7 related to unfair treatment of customers, conflicts of interest, and lack of fitness/propriety in the investment advisors and platforms sector. We imposed a prohibition, withdrawal, and public censure.

1816. FCA Final Notice 2014: The Zim Shop Limited [pdf]

      Final notices

      Published: 09/04/2014

      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.

1817. FCA Final Notice 2014: David Lloyd Wren [pdf]

      Final notices

      Published: 03/04/2014

      Last modified: 07/04/2015

      This final notice refers to breaches of PRIN 1 related to lack of fitness/propriety in the general insurance and protection sector. We imposed a withdrawal of approval, a fine and a prohibition.

1818. FCA Final Notice 2014: Philip Eley [pdf]

      Final notices

      Published: 27/03/2014

      Last modified: 07/04/2015

      This final notice refers to breaches of PRIN 1 related to lack of fitness/propriety in the general insurance and protection sector. We imposed a withdrawal of approval, a fine and a prohibition.

1819. FCA Final Notice 2014: Santander UK plc [pdf]

      Final notices

      Published: 26/03/2014

      Last modified: 07/04/2015

      This final notice refers to breaches of PRIN 7, PRIN 9 and COBS related to unfair treatment of customers in the wealth management and private banking, investment advisers and platforms sector. We imposed a fine.

1820. FCA Final Notice 2014: Mark Stevenson [pdf]

      Final notices

      Published: 20/03/2014

      Last modified: 07/04/2015

      This final notice refers to breaches of MAR related to market abuse in the investment banks sector. We imposed a fine and prohibition.