Search results

Showing 411 to 420 of 1097 search results for Final Notice refers to breaches of APER 7 related.

411. FCA Final Notice 2014: Drain Claim Limited [pdf]

     Final notices Published: 07/01/2014 Last modified: 07/04/2015
     This final notice refers to breaches of TC related to threshold conditions in the general insurance and protection sector. We imposed a cancellation.

412. Final Notice 2015: Kweku Mawuli Adoboli [pdf]

     Final notices Published: 16/10/2015 Last modified: 16/10/2015
     This final notice refers to breaches of FIT related to lack of fitness/propriety in the investment bank sector. We imposed a prohibition.

413. Final Notice 2015: Andrew Paul Condren [pdf]

     Final notices Published: 15/07/2015 Last modified: 15/07/2015
     This final notice refers to breaches of FSMA related to no regulated activities for 12 months in the investment and home finance sector. We imposed a cancellation.

414. FCA Final Notice 2014: Citibank N.A. [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.

415. Final notice 2016: Jonathan R Milnes [pdf]

     Final notices Published: 25/02/2016 Last modified: 25/02/2016
     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.

416. Final Notice: Motor Spot Limited [pdf]

     Final notices Published: 13/10/2016
     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.

417. Final Notice 2023: Ray Alan Davis [pdf]

     Final notices Published: 15/11/2023
     This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the General Insurance and Protection sector. We imposed a prohibition.

418. Final Notice 2018: John McCullagh [pdf]

     Final notices Published: 03/10/2018
     This final notice refers to breaches of FIT related to a lack of fitness/propriety in the consumer credit sector. We imposed a prohibition.

419. Final Notice 2018: Canara Bank [pdf]

     Final notices Published: 06/06/2018
     This FCA Final Notice (Canara Bank) refers to breaches of Principle 3 and SYSC related to financial crime in the retail bank sector. We imposed a fine and restriction.

420. Final Notice 2018: Russell Taylor [pdf]

     Final notices Published: 14/11/2018
     This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.