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Showing 541 to 550 of 1305 search results for Final Notice refers to breaches of APER.

541. Final Notice 2023: West Buy Limited [pdf]

     Final notices Published: 07/07/2023
     This final notice refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative (PRIN 11) in the credit broking sector. We refused the firm’s application for authorisation.

542. Final Notice 2021: Shaffarat Parvez [pdf]

     Final notices Published: 08/10/2021
     This Final Notice (Shaffarat Parvez) refers to a failure to satisfy the Fit and Proper Test (FIT). We imposed a prohibition.

543. FCA Final Notice 2013: Kevin Peter Wells [pdf]

     Final notices Published: 18/04/2013 Last modified: 07/04/2015
     This final notice refers to breaches of APER6, APER7, and FIT related to lack of fitness/propriety, client money/assets. We imposed a fine, a prohibition a public censure.

544. FCA Final Notice 2014: Jonathan Paul Burrows [pdf]

     Final notices Published: 15/12/2014 Last modified: 15/12/2014
     This final notice refers to breaches of FIT relating to a lack of fitness/propriety in the asset management sector. We imposed a prohibition.

545. Final Notice 2015: Badruzzaman Choudhury [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.

546. Final Notice 2017: Claudia Vida [pdf]

     Final notices Published: 30/08/2017
     This final notice refers to breaches of Principle 11 and SUP related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

547. Final Notice 2017: Motorhaus Ltd [pdf]

     Final notices Published: 06/11/2017 Last modified: 06/11/2017
     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.

548. Final Notice 2017: Tejoori Limited [pdf]

     Final notices Published: 14/12/2017
     This final notice refers to breaches of the Market Abuse Regulation related to market abuse in the issuer sector. We imposed a fine.

549. FCA Final Notice 2013: Clydesdale Bank PLC [pdf]

     Final notices Published: 26/09/2013 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 6 related to unfair treatment of customers in the retail banks sector. We imposed a fine and redress.

550. Final Notice 2018: Christian Bittar [pdf]

     Final notices Published: 14/09/2018
     This final notice refers to knowing concern in breaches of Principle 5 related to benchmark submissions. We imposed a prohibition.