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Showing 351 to 360 of 1074 search results for Final Notice refers to breaches of PSR related.

351. Final Notice 2018: Neil Danziger [pdf]

     Final notices Published: 08/01/2018
     This final notice refers to breaches of PRIN 5 and FIT related to benchmarks, lack of fitness/propriety and wholesale conduct in the investment bank sector. We imposed a fine and prohibition.

352. Final Notice 2017: Insulating Windows [pdf]

     Final notices Published: 10/08/2017
     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.

353. Final Notice 2024: Clive Harris Mongelard [pdf]

     Final notices Published: 12/07/2024
     “This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.” 

354. Final notice 2016: Mr Kevin Clarke [pdf]

     Final notices Published: 21/06/2016 Last modified: 21/06/2016
     This final notice refers to breaches of PRIN 11 and COND related to failing to be open and co-operative and a lack of fitness/propriety in the consumer credit sector. We imposed a refusal.

355. 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.

356. FCA Final Notice 2013: Christopher Willford [pdf]

     Final notices Published: 12/12/2013 Last modified: 07/04/2015
     This final notice refers to breaches of APER 6 related to failing to act on information appropriately in the retail banks sector. We imposed a fine.

357. FCA Final Notice 2014: Douglas Carroll trading as City and Chartered Mortgage Services [pdf]

     Final notices Published: 28/08/2014 Last modified: 07/04/2015
     This final notice refers to breaches of TC and SUP 16 related to transaction reporting in the general insurance and protection sector. We imposed a withdrawal.

358. Final Notice 2017: Dale (83) Limited [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.

359. 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.

360. Final Notice 2019: Mark Dobson [pdf]

     Final notices Published: 21/06/2019
     This final notice refers to breaches of FIT related to a lack of fitness/propriety in the retail banking sector. We imposed a prohibition.