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Showing 151 to 160 of 1097 search results for Final Notice refers to breaches of APER 7 related.

151. FCA Final Notice 2013: Mr Rahul Shah [pdf]

     Final notices Published: 13/11/2013 Last modified: 07/04/2015
     This final notice refers to breaches of MAR related to market abuse in the investment adviser sector. We imposed a fine and prohibition.

152. Final Notice 2017: Christine Whitehurst [pdf]

     Final notices Published: 23/10/2017
     This final notice refers to breaches of FIT related to client money/assets and lack of fitness/propriety in the consumer credit sector. We imposed a prohibition. Final Notice: Christine Whitehurst Conduct: Client money/assets; Lack of

153. Final Notice 2023: Al Rayan Bank PLC [pdf]

     Final notices Published: 11/01/2023
     This Final Notice refers to breaches of Principle 3 related to Financial Crime in the Retail Bank sector. We imposed a Financial Penalty.

154. Final Notice 2022: Barclays Bank plc [pdf]

     Final notices Published: 28/02/2022
     This Final Notice (Barlclays Bank plc) refers to breaches of PRIN 2 related to financial crime in the corporate banking sector. We imposed a financial penalty.

155. Final Notice 2015: Alina Business & Financial Services Limited [pdf]

     Final notices Published: 14/01/2015 Last modified: 14/01/2015
     This final notice refers to breaches of PSR related to the Payment Services Regulations in the payment services sector. We imposed a cancellation.

156. Final notice 2016: Quick Pay Forex Limited [pdf]

     Final notices Published: 27/05/2016 Last modified: 27/05/2016
     This final notice refers to breaches of PSR related to failing to be open and co-operative and payment services regulations in the payment services sector. We imposed a cancellation.

157. Final Notice 2023: Christopher Vincent Summers [pdf]

     Final notices Published: 03/10/2023
     This Final Notice (Christopher Vincent Summers) refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

158. FCA Final Notice 2015: Tiuta Plc [pdf]

     Final notices Published: 05/11/2015 Last modified: 05/11/2015
     This Final Notice refers to breaches of PRIN 4, COND, MIPRU and IPRU-INV related to threshold conditions in the investment adviser sector. We imposed a cancellation.

159. Final notice 2016: Pacific Continental Securities (UK) Limited (In Liquidation) [pdf]

     Final notices Published: 15/03/2016 Last modified: 17/03/2016
     This final notice refers to breaches of Prin 4, Cond and IPRU-INV related to threshold conditions in the investment advisor sector. We imposed a cancellation.

160. Final notice 2016: R Sadler [pdf]

     Final notices Published: 12/05/2016 Last modified: 12/05/2016
     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.