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Showing 141 to 150 of 1305 search results for Final Notice refers to breaches of APER.

141. Final Notice 2015: Leadgen (UK) Limited [pdf]

     Final notices Published: 26/01/2015 Last modified: 26/01/2015
     This final notice refers to breaches of Principle 11 related to threshold conditions breaches in the consumer credit sector. We imposed a cancellation.

142. FCA Final Notice 2014: Deutsche Bank AG (“Deutsche”) [pdf]

     Final notices Published: 28/08/2014 Last modified: 07/04/2015
     This final notice refers to breaches of SUP 17 related to transaction reporting in the investment bank sector. We imposed a fine.

143. Final Notice 2019: Prindiville Plc [pdf]

     Final notices Published: 25/07/2019
     This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in

144. Final Notice 2020: Simon Charles Oakley [pdf]

     Final notices Published: 21/09/2020 Last modified: 21/09/2020
     This Final Notice (Simon Charles Oakley) refers to breaches of FIT by a financial adviser. We imposed a prohibition.”

145. Final Notice 2021: Colin Bermingham [pdf]

     Final notices Published: 01/11/2021
     This Final Notice (Colin Bermingham) refers to breaches of FIT related to Lack of fitness/propriety in the Investment Banking. We imposed a prohibition.

146. Final Notice 2024: Fast Remit Limited [pdf]

     Final notices Published: 21/03/2024
     This final notice refers to breaches of PSR related to failing to be open and co-operative and payment services regulations in the payment services sector. We imposed a cancellation.

147. Final Notice 2018: Metlife Ltd [pdf]

     Final notices Published: 14/06/2018
     This final notice refers to breaches of Principle 4, COND and MIPRU related to failing to in the general insurance and protection sector. We imposed a cancellation.

148. Final Notice 2023: Susan Mary Jones [pdf]

     Final notices Published: 27/11/2023
     This Final Notice refers to breaches of Principles for Business 2 related to the provision of unsuitable pension transfer advice in the pensions sector. We imposed a partial prohibition. A payment of £40,888 is being made to the FSCS.

149. Final Notice 2022: Sir Christopher Gent [pdf]

     Final notices Published: 05/08/2022 Last modified: 12/08/2022
     This Final Notice (Sir Christopher Gent) refers to breaches of the Market Abuse Regulations related to unlawful disclosure of inside information in the issuers sector. We imposed a financial penalty

150. Final Notice 2015: Reckitt Benckiser Group Plc [pdf]

     Final notices Published: 20/01/2015 Last modified: 20/01/2015
     This final notice refers to breaches of LR and DTR related to listing rules breaches in the issuer sector. We imposed a financial penalty.