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Showing 181 to 190 of 1305 search results for Final Notice refers to breaches of APER.

181. Final notice 2016: Mark Kelly [pdf]

     Final notices Published: 09/06/2016 Last modified: 09/06/2016
     This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

182. FCA Final Notice 2013: Westwind UK Limited [pdf]

     Final notices Published: 21/06/2013 Last modified: 07/04/2015
     This Final Notice refers to breaches of PSR related to failing to be open and co-operative in the payment services sector. We imposed a cancellation.

183. Final Notice 2019: Vale Veterinary Group [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

184. Final Notice 2021: Ron Treherne IFA Ltd [pdf]

     Final notices Published: 25/05/2021
     This Final Notice (Ron Treherne IFA Ltd) refers to breaches of COND, PRIN 6 and PRIN 11 by a financial adviser. We imposed a cancellation of the adviser’s Part 4A permission.

185. Final Notice 2019: Wedgwood Vehicle Solutions Limited [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

186. Final Notice 2023: Stratton Leasing Limited [pdf]

     Final notices Published: 15/02/2023
     'The Final Notice refers to breaches of the suitability and appropriate resources Threshold Conditions (COND), and to be open and co-operative with the Authority (Prin 11) in the consumer credit sector. We imposed a cancellation.

187. Final notice 2016: H Finnikin [pdf]

     Final notices Published: 21/07/2016 Last modified: 21/07/2016
     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.

188. Final Notice 2020: Goldman Sachs International (GSI) [pdf]

     Final notices Published: 22/10/2020 Last modified: 22/10/2020
     This Final Notice refers to breaches of PRIN 2 and PRIN 3 related to wholesale conduct in the investment bank sector. We imposed a financial penalty.

189. Final Notice 2021: Premier FX Limited [pdf]

     Final notices Published: 25/02/2021
     This Final Notice refers to breaches of the Payment Services Regulations in the Payment Services sector. We imposed a public censure.

190. FCA Final Notice 2013: Coöperatieve Centrale Raiffeisen–Boerenleenbank B.A. (Rabobank) [pdf]

     Final notices Published: 29/10/2013 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 2, PRIN 3, and PRIN 5 related to benchmarks in the investment banks sector. We imposed a fine.