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Showing 251 to 260 of 1305 search results for Final Notice refers to breaches of APER.

251. FCA Final Notice 2014: Royal Bank of Scotland plc and National Westminster Bank Plc [pdf]

     Final notices Published: 27/08/2014 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 2, PRIN 9, and MCOB related to mis-selling in the retail bank sector. We imposed a fine.

252. Final Notice 2015: Robin Choudhury [pdf]

     Final notices Published: 16/11/2015 Last modified: 16/11/2015
     This final notice refers to breaches of FIT related to lack of fitness/propriety in the general insurance and protection sector. We imposed a prohibition.

253. Final Notice 2021: Sapien Capital Limited [pdf]

     Final notices Published: 06/05/2021
     This Final Notice (Sapien Capital Limited) refers to breaches of PRIN 2 and PRIN 3 related to the risk of financial crime in the trading firms sector. We imposed a financial penalty.

254. FCA Final Notice 2013: UK Paymaster Limited [pdf]

     Final notices Published: 05/12/2013 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.

255. Final Notice 2017: Stephen Duffy [pdf]

     Final notices Published: 04/07/2017
     This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

256. Final Notice 2015: Magnus Michael Peterson [pdf]

     Final notices Published: 26/10/2015 Last modified: 26/10/2015
     This Final Notice refers to breaches of FIT related to lack of fitness/propriety in the investment advisor sector. We imposed a prohibition.

257. FCA Final Notice 2014: UK2PK Limited [pdf]

     Final notices Published: 14/08/2014 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 services sector. We imposed a cancellation.

258. FCA Final Notice 2014: Besso Limited [pdf]

     Final notices Published: 19/03/2014 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 3 related to anti-Bribery and corruption in the general insurance and protection sector. We imposed a fine.

259. Final Notice 2015: Rogerio Pinto [pdf]

     Final notices Published: 12/02/2015 Last modified: 02/04/2015
     This final notice refers to breaches of FIT related to lack of fitness and propriety in the trading firm sector. We imposed a refusal.

260. Final notice 2016: Premier Dental Limited [pdf]

     Final notices Published: 03/03/2016 Last modified: 03/03/2016
     This final notice refers to breaches of Principle 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.