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Showing 161 to 170 of 1305 search results for Final Notice refers to breaches of APER.

161. 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.

162. Final notice 2016: Pacific Continental Securities (UK) Limited (In Liquidation) [pdf]

     Final notices Published: 15/03/2016 Last modified: 17/03/2016
     This final notice refers to breaches of Prin 4, Cond and IPRU-INV related to threshold conditions in the investment advisor sector. We imposed a cancellation.

163. Final Notice 2023: Al Rayan Bank PLC [pdf]

     Final notices Published: 11/01/2023
     This Final Notice refers to breaches of Principle 3 related to Financial Crime in the Retail Bank sector. We imposed a Financial Penalty.

164. Final Notice 2023: Geoffrey Edward Armin [pdf]

     Final notices Published: 03/11/2023
     This Final Notice refers to breaches of Statements of Principle 2 and 7 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We imposed a partial prohibition. A payment of £200,000 is being made to

165. Final notice 2016: R Sadler [pdf]

     Final notices Published: 12/05/2016 Last modified: 12/05/2016
     This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

166. FCA Final Notice 2014: Sesame Limited [pdf]

     Final notices Published: 29/10/2014 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 8 and COBS related to conflicts of interest in the life insurance and investment adviser sector. We imposed a fine.

167. Final Notice 2017: Eastern Union Remittance and Exchange Limited [pdf]

     Final notices Published: 30/08/2017
     This final notice refers to breaches of Principle 11 related to failing to be open and

168. Final Notice 2022: Barclays Bank plc [pdf]

     Final notices Published: 28/02/2022
     This Final Notice (Barlclays Bank plc) refers to breaches of PRIN 2 related to financial crime in the corporate banking sector. We imposed a financial penalty.

169. Final Notice 2023: Christopher Vincent Summers [pdf]

     Final notices Published: 03/10/2023
     This Final Notice (Christopher Vincent Summers) refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

170. Final Notice 2015: Linda Carole Stuart [pdf]

     Final notices Published: 23/11/2015 Last modified: 23/11/2015
     This final notice refers to numerous breaches of CONC Chapter 8 and SYSC 9.1 related to inability to meet Threshold Condition 2D (appropriate non-financial resources) in the Consumer Credit: Debt Management sector. We imposed a refusal of Part 4A