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Showing 251 to 260 of 1074 search results for Final Notice refers to breaches of PSR related.

251. Final Notice 2017: Padraig Keenan [pdf]

     Final notices Published: 02/05/2017
     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.

252. Final Notice 2022: Thomas Henry Ward [pdf]

     Final notices Published: 17/05/2022
     This Final Notice (Thomas Henry Ward) refers to breaches of section 63A FSMA and FIT related to a lack of fitness/propriety in the investment adviser and pensions sector. We imposed a prohibition and financial penalty.

253. Final notice 2016: Premier Dental Limited [pdf]

     Final notices Published: 03/03/2016 Last modified: 03/03/2016
     This final notice refers to breaches of Principle 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

254. FCA Final Notice 2014: Besso Limited [pdf]

     Final notices Published: 19/03/2014 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 3 related to anti-Bribery and corruption in the general insurance and protection sector. We imposed a fine.

255. Final notice 2016: W H Ireland Limited [pdf]

     Final notices Published: 23/02/2016 Last modified: 23/02/2016
     This final notice refers to breaches of PRIN 3 and SYSC related to market protection, culture/governance and conflicts of interest in the wealth management and private banking sector. We imposed a fine and restriction.

256. Final Notice: Kathryn Clark [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 and withdrawal.

257. FCA Final Notice 2014: JPMorgan Chase Bank 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.

258. FCA Final Notice 2014: Royal Bank of Scotland plc and National Westminster Bank Plc [pdf]

     Final notices Published: 27/08/2014 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 2, PRIN 9, and MCOB related to mis-selling in the retail bank sector. We imposed a fine.

259. Final Notice 2015: Rogerio Pinto [pdf]

     Final notices Published: 12/02/2015 Last modified: 02/04/2015
     This final notice refers to breaches of FIT related to lack of fitness and propriety in the trading firm sector. We imposed a refusal.

260. Final notice 2016: Nasser Yusuf trading as Advance Money Management [pdf]

     Final notices Published: 09/05/2016 Last modified: 09/05/2016
     This final notice refers to breaches of COND related to Threshold conditions in the consumer credit sector. We imposed a refusal.