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Showing 891 to 900 of 1216 search results for Final Notice refers to breaches of PRIN 3 related.

891. FCA Final Notice 2014: Mark Stevenson [pdf]

     Final notices Published: 20/03/2014 Last modified: 07/04/2015
     This final notice refers to breaches of MAR related to market abuse in the investment banks sector. We imposed a fine and prohibition.

892. Final notice 2016: Peter Charles Johnson [pdf]

     Final notices Published: 31/08/2016 Last modified: 31/08/2016
     This final notice refers to breaches of FIT related to benchmarks, a lack of fitness/propriety and wholesale conduct in the retail bank sector. We imposed a prohibition.

893. FCA Final Notice 2013: IBBL Exchange UK Limited (formerly Jalalabad Money Transfer & Travels Limited) [pdf]

     Final notices Published: 18/07/2013 Last modified: 07/04/2015
     This Final Notice refers to breaches of PSR related to failing to be open and co-operative in the payment services sector. We imposed a cancellation.

894. FCA Final Notice 2013: Derek Jones [pdf]

     Final notices Published: 29/04/2013 Last modified: 19/05/2015
     This final notice refers to breaches of APER 6 related to lack of fitness /propriety in the mortgage and consumer credit sector. We imposed a prohibition.

895. Final Notice: Richard Clay [pdf]

     Final notices Published: 25/10/2016
     This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

896. Final Notice 2015: Kevin Allen [pdf]

     Final notices Published: 09/06/2015 Last modified: 09/06/2015
     This final notice refers to breaches of APER 1 & FIT related to lack of fitness/propriety in the Mortgages sector. We imposed a prohibition and a public censure.

897. Final Notice 2023: Richard John Hamilton (Trading as Hamilton Motors and Richard H Hamilton Car Sales) [pdf]

     Final notices Published: 19/05/2023
     This final notice refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the consumer credit sector. We imposed a cancellation

898. Final Notice 2015: Robin Choudhury [pdf]

     Final notices Published: 16/11/2015 Last modified: 16/11/2015
     This final notice refers to breaches of FIT related to lack of fitness/propriety in the general insurance and protection sector. We imposed a prohibition.

899. Final Notice 2024: Tyrone Miller [pdf]

     Final notices Published: 31/05/2024
     “This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.”

900. Final notice 2016: Gavin Breeze [pdf]

     Final notices Published: 15/07/2016 Last modified: 15/07/2016
     This final notice refers to breaches of s.118(2) and (3) Financial Services and Markets Act 2000 related to market abuse in the issuer sector. We imposed a fine, required restitution and a public censure.