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Showing 1101 to 1110 of 1216 search results for Final Notice refers to breaches of PRIN 3 related.
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Final notice 2016: Timothy Duncan Philip [pdf]
This final notice refers to breaches of APER 6 and FIT related to a lack of fitness and propriety and client money/assets in the general insurance and protection sector. We imposed a fine and prohibition. -
Final Notice 2015: John Edward Duncan Field [pdf]
This final notice refers to breaches of FIT related to lack of fitness/propriety in the investment adviser sector. We imposed a prohibition. -
Final notice 2016: Amir Khan [pdf]
This final notice refers to breaches of APER 1 and APER 6 related to mortgage fraud in the mortgages sector. We imposed a prohibition and public censure. -
Final notice 2015: Carbon Reduction Group Limited [pdf]
This final notice refers to breaches of COND and CONC related to threshold conditions in the consumer credit sector. We imposed a refusal. -
FCA Final Notice 2014: Daniel James Plunkett [pdf]
This final notice refers to breaches of FIT, APER 1 and APER 3 related to lack of fitness and propriety, conflicts of interest in the investment banks sector. We imposed a prohibition and a fine. -
FCA Final Notice 2013: Nicholas Welsh & Co Limited [pdf]
This Final Notice refers to breaches of TC related to threshold conditions in the investment advisors & platforms sector. We imposed a cancellation. -
Final Notice 2023: Mark Antony Abley [pdf]
This Final Notice refers to breaches of APER 2 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We imposed a financial penalty and a partial prohibition. -
FCA Final Notice 2013: Andrew Joseph Powell [pdf]
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. -
Final Notice 2015: Ralph Whittington [pdf]
This final notice refers to breaches of APER 1 and FIT related to lack of fitness/propriety, client money/assets and insurance fraud in the general insurance and protection sector. We imposed a fine, prohibition, and withdrawal. -
Final Notice 2019: Alison Mary Mills [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety. We imposed a prohibition.