Publications

Showing 1881 to 1890 of 3616 search results.

1881. FCA Final Notice 2013: Clydesdale Bank PLC [pdf]

      Final notices

      Published: 26/09/2013

      Last modified: 07/04/2015

      This final notice refers to breaches of PRIN 6 related to unfair treatment of customers in the retail banks sector. We imposed a fine and redress.

1882. FCA Final Notice 2013: ICAP Europe Ltd [pdf]

      Final notices

      Published: 25/09/2013

      Last modified: 07/04/2015

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

1883. FCA Final Notice 2013: JPMorgan Chase Bank, N.A. [pdf]

      Final notices

      Published: 19/09/2013

      Last modified: 07/04/2015

      This final notice refers to breaches of PRIN 2, PRIN 3, PRIN 5, and PRIN 11 related to wholesale conduct, market protection, and failing to be open and co-operative in the investment banks sector. We imposed a fine.

1884. FCA Final Notice 2013: AXA Wealth Services Ltd (“AXA”) [pdf]

      Final notices

      Published: 13/09/2013

      Last modified: 07/04/2015

      This final notice refers to breaches of PRIN 9 and COBS related to mis-selling in the investment advisers and platforms sector. We imposed a fine.

1885. FCA Final Notice 2013: Khyber Travel & Exchange Limited [pdf]

      Final notices

      Published: 04/09/2013

      Last modified: 07/04/2015

      This final notice refers to breaches of PSR related to lack of fitness, propriety, failing to be open and co-operative in the payment services sector. We imposed a refusal.

1886. FCA Final Notice 2013: Independent Asset Management U.K. Limited [pdf]

      Final notices

      Published: 04/09/2013

      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 OIVOP and a cancellation.

1887. FCA Final Notice 2013: The Transportation Group (UK) Limited [pdf]

      Final notices

      Published: 02/09/2013

      Last modified: 07/04/2015

      This final notice refers to breaches of TC related to threshold conditions in the designated investment business sector. We imposed a cancellation.

1888. FCA Final Notice 2013: Aberdeen Asset Managers Limited and Aberdeen Fund Management Limited [pdf]

      Final notices

      Published: 02/09/2013

      Last modified: 07/04/2015

      This final notice refers to breaches of PRIN 3, PRIN 10 and CASS related to client money in the asset management sector. We imposed a financial penalty.

1889. FCA Final Notice 2013: Shahjalal Umrah & Hajj Company Limited [pdf]

      Final notices

      Published: 02/09/2013

      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 services sector. We imposed a cancellation.

1890. FCA Final Notice 2013: Mr Andrew Jeffery [pdf]

      Final notices

      Published: 23/08/2013

      Last modified: 07/04/2015

      This final notice refers to breaches of APER1 and APER4 related to insurance fraud in the general insurance and protection sector. We imposed a fine and a prohibition order.