Publications

Showing 1851 to 1860 of 3616 search results.

1851. FCA Final Notice 2013: Howard Kennedy Corporate Services LLP [pdf]

      Final notices

      Published: 16/12/2013

      Last modified: 07/11/2014

      Following a request received from Howard Kennedy Corporate Services LLP, the FCA hereby limits and restricts the services to which the sponsor approval of Howard Kennedy Corporate Services LLP relates.

1852. FCA Final Notice 2013: Christopher Willford [pdf]

      Final notices

      Published: 12/12/2013

      Last modified: 07/04/2015

      This final notice refers to breaches of APER 6 related to failing to act on information appropriately in the retail banks sector. We imposed a fine.

1853. FCA Final Notice 2013: Lloyds TSB Bank plc and Bank of Scotland plc [pdf]

      Final notices

      Published: 11/12/2013

      Last modified: 07/04/2015

      This final notice refers to breaches of PRIN 3 related to mis-selling, remuneration, and culture/governance in the retail banks sector. We imposed a fine.

1854. FCA Final Notice 2013: UK Paymaster Limited [pdf]

      Final notices

      Published: 05/12/2013

      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.

1855. FCA Final Notice 2013: Rak Telecommunications Limited [pdf]

      Final notices

      Published: 03/12/2013

      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.

1856. FCA Final Notice 2013: Berkeley Consultants (UK) Limited [pdf]

      Final notices

      Published: 27/11/2013

      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.

1857. FCA Final Notice 2013: SEI Investments (Europe) Limited ("SEI") [pdf]

      Final notices

      Published: 26/11/2013

      Last modified: 07/04/2015

      This final notice refers to breaches of PRIN 10 and CASS related to client money in the asset management sector. We imposed a financial penalty.

1858. FCA Final Notice 2013: Mr Rahul Shah [pdf]

      Final notices

      Published: 13/11/2013

      Last modified: 07/04/2015

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

1859. FCA Final Notice 2013: Fokrul Islam [pdf]

      Final notices

      Published: 11/11/2013

      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.

1860. FCA Final Notice 2013: Fadugu Limited [pdf]

      Final notices

      Published: 04/11/2013

      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.