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Showing 391 to 400 of 1305 search results for Final Notice refers to breaches of APER.

391. Final Notice 2017: Insulating Windows [pdf]

     Final notices Published: 10/08/2017
     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.

392. Final Notice 2015: Muhammad Ashraf [pdf]

     Final notices Published: 17/08/2015 Last modified: 17/08/2015
     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.

393. Final Notice 2019: David John Mills [pdf]

     Final notices Published: 21/06/2019
     This final notice refers to breaches of FIT related to a lack of fitness/propriety. We imposed a prohibition.

394. FCA Final Notice 2013: Michael Conway [pdf]

     Final notices Published: 17/12/2013 Last modified: 07/04/2015
     This final notice refers to breaches of FIT related to lack of fitness/propriety in the wealth management and private banking, investment advisers and platforms sector. We imposed a prohibition.

395. Final Notice 2015: Unitransfer Limited [pdf]

     Final notices Published: 11/08/2015 Last modified: 11/08/2015
     This final notice refers to breaches of PSR, related to payment service regulations and failing to be open and co-operative in the payment services sector. We imposed a cancellation.

396. Final Notice 2020: E-Cars Trading Limited [pdf]

     Final notices Published: 30/09/2020 Last modified: 30/09/2020
     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.

397. Final Notice 2019: UBS AG [pdf]

     Final notices Published: 19/03/2019
     This final notice (UBS AG) refers to breaches of SUP 17, SUP 15 and PRIN 3 related to transaction reporting failures in the investment bank sector. We imposed a fine.

398. Final Notice 2020: TFS-ICAP Limited [pdf]

     Final notices Published: 23/11/2020 Last modified: 23/11/2020
     This Final Notice refers to breaches of PRIN 2, PRIN 3 and PRIN 5 related to wholesale conduct in the wholesale broker sector. We imposed a financial penalty.

399. Final Notice 2020: Shruti Patel aka Cindy Brad [pdf]

     Final notices Published: 09/12/2020 Last modified: 09/12/2020
     This Final Notice refers to breaches of FIT by an unapproved mortgage advisor. We imposed a prohibition.

400. Final Notice 2015: Aviva Investors Global Services Limited [pdf]

     Final notices Published: 24/02/2015 Last modified: 24/02/2015
     This final notice refers to breaches of PRIN 3, PRIN 8 and COBS related to unfair treatment of customers, conflicts of interest and culture / governance in the Asset management sector. We imposed a fine.