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Showing 361 to 370 of 1097 search results for Final Notice refers to breaches of APER 7 related.
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FCA Final Notice 2013: Porta Verde Financial Services Limited [pdf]
This final notice refers to breaches of PRIN 3, PRIN 6 and PRIN 7 related to appointed representatives, and unfair treatment of customers in the general insurance and protection sector. We imposed a fine. -
FCA Final Notice 2014: Douglas Carroll trading as City and Chartered Mortgage Services [pdf]
This final notice refers to breaches of TC and SUP 16 related to transaction reporting in the general insurance and protection sector. We imposed a withdrawal. -
Final Notice 2017: Dale (83) Limited [pdf]
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. -
Final notice 2016: Mr Kevin Clarke [pdf]
This final notice refers to breaches of PRIN 11 and COND related to failing to be open and co-operative and a lack of fitness/propriety in the consumer credit sector. We imposed a refusal. -
Final Notice 2017: Lukhvir Thind [pdf]
This final notice refers to breaches of s.118(7) Financial Services and Markets Act 2000 and FIT related to market abuse, a lack of fitness/propriety and client money/assets in the trading firm sector. We imposed a fine and prohibition. -
Final Notice 2019: Mark Dobson [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety in the retail banking sector. We imposed a prohibition. -
Final Notice 2022: Metro Bank plc [pdf]
The Final Notice (Metro Bank plc) refers to breaches of Listing Rules 1.3.3R related to misleading information not to be published in the Retail Bank sector. We imposed a financial penalty. -
Final Notice 2015: Unitransfer Limited [pdf]
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. -
Final Notice 2018: Alan Taylor [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition. -
Final Notice 2015: Muhammad Ashraf [pdf]
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.