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Showing 151 to 160 of 1305 search results for Final Notice refers to breaches of APER.

151. Final Notice 2017: Adrian Whitehurst [pdf]

     Final notices Published: 23/10/2017
     This final notice refers to breaches of FIT related to client money/assets and lack of fitness/propriety in the consumer credit sector. We imposed a prohibition. Final Notice: Adrian Whitehurst Conduct: Client money/assets; Lack of fitness/propriety

152. Final Notice 2020: John Butterfield [pdf]

     Final notices Published: 12/10/2020 Last modified: 12/10/2020
     This Final Notice (John Leonard Butterfield) refers to breaches of FIT 2.1 related to lack of fitness and propriety in the Investment Adviser sector. We imposed a prohibition.

153. 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.

154. 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.

155. Final Notice 2024: Paydog Ltd [pdf]

     Final notices Published: 23/04/2024
     This Final Notice refers to a failure to carry on payment service activities. We imposed a cancellation.  

156. Final Notice 2022: Andrew Roy Brooke [pdf]

     Final notices Published: 06/04/2022
     This Final Notice (Andrew Roy Brooke) refers to breaches of FIT. We imposed a prohibition.

157. Final Notice 2021: Anthony George [pdf]

     Final notices Published: 24/09/2021
     This Final Notice (Anthony George) refers to breaches of FIT relating to a lack of fitness/propriety and failing to be open and co-operative in the life insurance and mortgages sector. We imposed a prohibition and a public censure.

158. Final Notice 2020: Jarnail Singh Basran [pdf]

     Final notices Published: 21/05/2020
     This final notice (Jarnail Singh Basran) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

159. Final Notice 2020: Kirt Blackburn [pdf]

     Final notices Published: 05/05/2020
     This final notice (Kirt Blackburn) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

160. Final Notice 2015: Alina Business & Financial Services Limited [pdf]

     Final notices Published: 14/01/2015 Last modified: 14/01/2015
     This final notice refers to breaches of PSR related to the Payment Services Regulations in the payment services sector. We imposed a cancellation.