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Showing 261 to 270 of 1305 search results for Final Notice refers to breaches of APER.

261. Final Notice 2017: James Pollock [pdf]

     Final notices Published: 20/02/2017
     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.

262. Final Notice 2017: Glen Eagleson [pdf]

     Final notices Published: 21/02/2017
     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.

263. Final Notice 2017: Sujeel Ranjha [pdf]

     Final notices Published: 09/01/2017
     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.

264. Final Notice 2016: Daniel Peter Terrence Forsyth [pdf]

     Final notices Published: 01/11/2016
     This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

265. Final Notice 2022: Grahams Cars [pdf]

     Final notices Published: 25/11/2022
     This final notice (Grahams Cars) refers to a failure to satisfy the Effective Supervision Threshold Condition (COND) due to the Authority having no means by which it can communicate with the firm. Therefore, we imposed a cancellation.

266. Final notice 2016: Aaron Cooper [pdf]

     Final notices Published: 16/03/2016 Last modified: 16/03/2016
     This final notice refers to breaches of COND and PRIN 11 related to Threshold Conditions, Failing to be open and co-operative in the consumer credit sector. We imposed a refusal.

267. FCA Final Notice 2014: HSBC Bank Plc [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.

268. Final Notice 2017: Mark Leaper [pdf]

     Final notices Published: 02/02/2017
     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.

269. FCA Final Notice 2014: State Street [pdf]

     Final notices Published: 31/01/2014 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 6 and PRIN 7 related to wholesale conduct, unfair treatment of customers in the investment banks sector. We imposed a fine.

270. Final Notice 2015: Abid Hussain [pdf]

     Final notices Published: 10/06/2015 Last modified: 10/06/2015
     This final notice refers to breaches of PSR related to Payment Services Regulations and failing to be open and co-operative in the payment services sector. We imposed a cancellation.