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Showing 231 to 240 of 1305 search results for Final Notice refers to breaches of APER.

231. FCA Final Notice 2014: Mark Stevenson [pdf]

     Final notices Published: 20/03/2014 Last modified: 07/04/2015
     This final notice refers to breaches of MAR related to market abuse in the investment banks sector. We imposed a fine and prohibition.

232. Final Notice 2024: Robert Harriss [pdf]

     Final notices Published: 24/05/2024
     This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the credit broker sector. We imposed a prohibition.

233. FCA Final Notice 2014: UBS AG [pdf]

     Final notices Published: 12/11/2014 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 3 related to wholesale conduct and benchmarks in the investment bank sector. We imposed a fine.

234. Final Notice: Richard Clay [pdf]

     Final notices Published: 25/10/2016
     This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

235. Final notice 2016: W H Ireland Limited [pdf]

     Final notices Published: 23/02/2016 Last modified: 23/02/2016
     This final notice refers to breaches of PRIN 3 and SYSC related to market protection, culture/governance and conflicts of interest in the wealth management and private banking sector. We imposed a fine and restriction.

236. Final notice 2016: Peter Charles Johnson [pdf]

     Final notices Published: 31/08/2016 Last modified: 31/08/2016
     This final notice refers to breaches of FIT related to benchmarks, a lack of fitness/propriety and wholesale conduct in the retail bank sector. We imposed a prohibition.

237. FCA Final Notice 2013: Norest Chari [pdf]

     Final notices Published: 02/07/2013 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.

238. FCA Final Notice 2013: Nasir Sarwar [pdf]

     Final notices Published: 03/10/2013 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 systems sector. We imposed a cancellation.

239. FCA Final Notice 2013: Abdul Majeed [pdf]

     Final notices Published: 05/08/2013 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.

240. FCA Final Notice 2014: Sultan Ahmed [pdf]

     Final notices Published: 20/06/2014 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 systems sector. We imposed a cancellation.