Publications

Showing 1911 to 1920 of 3616 search results.

1911. FCA Final Notice 2013: Swinton Group Limited [pdf]

      Final notices

      Published: 16/07/2013

      Last modified: 07/04/2015

      This final notice refers to breaches of PRIN 3, PRIN 6 and PRIN 7 related to unfair treatment of customers in the general insurance and protection sector. We imposed a fine.

1912. FCA Final Notice 2013: The Royal Bank of Scotland plc and The Royal Bank of Scotland N.V. (together “RBS”) [pdf]

      Final notices

      Published: 16/07/2013

      Last modified: 07/04/2015

      This final notice refers to breaches of SUP and PRIN 2 related to transaction reporting in the investment banks sector. We imposed a fine.

1913. FCA Final Notice 2013: Martin Richard Moseling trading as Blenheim Financial Services [pdf]

      Final notices

      Published: 15/07/2013

      Last modified: 07/04/2015

      This Final Notice refers to breaches of PRIN 6 related to threshold conditions in the investment advisors & platforms sector. We imposed a cancellation.

1914. FCA Final Notice 2013: Jeffrey Simon Bennett [pdf]

      Final notices

      Published: 12/07/2013

      Last modified: 19/05/2015

      This final notice refers to breaches of APER 6 related to misselling and lack of fitness/propriety in the investment advisers and platforms sector. We imposed a fine, a prohibition order and withdrawal of approval.

1915. FCA Final Notice 2013: Sovereign Worldwide Limited [pdf]

      Final notices

      Published: 04/07/2013

      Last modified: 07/04/2015

      This final notice refers to breaches of COND related to threshold conditions and mortgage fraud in the investment advisers and platforms sector. We imposed a withdrawal.

1916. Final Notice 2013: Michael Coscia - Appendix 1 [pdf]

      Final notices

      Published: 03/07/2013

      Last modified: 07/11/2014

      Chart: Example of trading

1917. Final Notice 2013: Michael Coscia - Appendix 1a [pdf]

      Final notices

      Published: 03/07/2013

      Last modified: 07/11/2014

      Animated chart: Example of trading

1918. FCA Final Notice 2013: Policy Administration Services Limited [pdf]

      Final notices

      Published: 03/07/2013

      Last modified: 07/04/2015

      This final notice refers to breaches of PRIN 3 and 6 related to complaints-handling, and the unfair treatment of customers in the general insurance and protection sector. We imposed a fine.

1919. Final Notice 2013: Michael Coscia - Appendix 1b [pdf]

      Final notices

      Published: 03/07/2013

      Last modified: 07/11/2014

      Graphs: Market depth of trades from example of trading

1920. Final Notice 2013: Michael Coscia [pdf]

      Final notices

      Published: 03/07/2013

      Last modified: 07/04/2015

      This final notice refers to breaches of MAR related to market abuse in the trading frims sector. We imposed a fine.