Search results
Showing 131 to 140 of 1305 search results for Final Notice refers to breaches of APER.
-
FCA Final Notice 2013: Kuya J’s Filipino Store Limited [pdf]
This Final Notice refers to breaches of PSR related to failing to be open and co-operative in the -
Final Notice 2017: Keep Sheffield Warm [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be -
Final Notice 2022: BGC Brokers LP, GFI Securities Limited and GFI Brokers Limited [pdf]
This Final Notice refers to breaches of Principle 3 of the FCA’s Principles for Businesses and Article 16(2) of the Market Abuse Regulation related to market protection and wholesale conduct in the Trading Firm sector. We imposed a financial -
Final Notice 2023: Mark Anthony Jensen [pdf]
This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition. -
Final Notice 2022: Charanjit Sandhu [pdf]
This Final Notice (Charanjit Sandhu) refers to breaches of FIT. We imposed a prohibition. -
Final Notice 2020: Nicholas Anderton [pdf]
This final notice (Nicholas Anderton) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation. -
Final Notice 2023: David Nigel Lewis [pdf]
This Final Notice refers to breaches of Principles for Business 6 and 7 related to the provision of unsuitable pension transfer advice in the pensions sector. We imposed a partial prohibition. A payment of £26,800 is being made to the FSCS. -
Final Notice 2015: Neil Moir trading as ‘Readymoney’ [pdf]
This final notice refers to breaches of COND and PRIN 11 related to threshold conditions, failing to be open and co-operative and lack of fitness/propriety in the consumer credit sector. We imposed a refusal. -
Final Notice 2023: Equifax Limited [pdf]
This Final Notice relates to the outsourcing of data processing to an intragroup entity which experienced a data breach. The Final Notice refers to risk management failings (Principle 3) and failings in relation to treating customers fairly and -
Final Notice 2023: NMC Health Plc (in Administration) [pdf]
This Final Notice refers to breaches of Article 15 EU MAR related to disseminating false and misleading information regarding NMC’s debt positions. We publish a public censure.