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Showing 971 to 980 of 1216 search results for Final Notice refers to breaches of PRIN 3 related.

971. Final Notice 2017: David Samuel Watters [pdf]

     Final notices Published: 14/07/2017
     This final notice refers to breaches of APER 6 related to a lack of competence in the pensions sector.

972. Final Notice 2017: Lukhvir Thind [pdf]

     Final notices Published: 07/04/2017
     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.

973. Final Notice 2015: Craig Anthony Welborn [pdf]

     Final notices Published: 09/12/2015 Last modified: 09/12/2015
     This final notice refers to breaches of COND and TC related to failing to be open and co-operativein the consumer credit sector. We imposed a refusal.

974. Final Notice 2016: Dale Robert Walker [pdf]

     Final notices Published: 01/11/2016
     This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

975. Final Notice 2015: Muhammad Ashraf [pdf]

     Final notices Published: 17/08/2015 Last modified: 17/08/2015
     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.

976. FCA Final Notice 2014: Nick Bowyer [pdf]

     Final notices Published: 05/11/2014 Last modified: 07/04/2015
     This final notice refers to breaches of APER 6 related to unfair treatment of customers, mis-selling, remuneration, and culture/governance in the payment services sector. We imposed a fine and a prohibition.

977. Final Notice 2022: Metro Bank plc [pdf]

     Final notices Published: 12/12/2022
     The Final Notice (Metro Bank plc) refers to breaches of Listing Rules 1.3.3R related to misleading information not to be published in the Retail Bank sector.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.

978. FCA Final Notice 2014: David Gillespie [pdf]

     Final notices Published: 09/10/2014 Last modified: 07/04/2015
     This final notice refers to breaches of APER 1 and APER 6 related to client money/assets in the asset management sector. We imposed a fine, withdrawal and a prohibition.

979. Final Notice 2018: Andrew Hind [pdf]

     Final notices Published: 15/11/2018
     This final notice (Andrew Hind) refers to breaches of FIT related to a lack of fitness/propriety in the asset management sector. We imposed a prohibition.

980. FCA Final Notice 2014: World Link UK Limited [pdf]

     Final notices Published: 19/05/2014 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 systems sector. We imposed a cancellation.