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Showing 361 to 370 of 1074 search results for Final Notice refers to breaches of PSR related.

361. Final Notice 2023: Guaranty Trust Bank (UK) Limited [pdf]

     Final notices Published: 10/01/2023
     This Final Notice (Guaranty Trust Bank (UK) Limited) refers to breaches of PRIN 3 related to the risk of financial crime in the wholesale banking sector. We imposed a financial penalty.

362. Final Notice 2018: Alan Taylor [pdf]

     Final notices Published: 14/11/2018
     This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

363. Final Notice 2015: Paivi Grigg [pdf]

     Final notices Published: 11/12/2015 Last modified: 17/12/2015
     This final notice refers to breaches of APER 6 related to appointed representatives, culture/governance and unfair treatment of customers in the investment adviser sector . We imposed a fine.

364. 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.

365. FCA Final Notice 2014: Anthony Verrier [pdf]

     Final notices Published: 29/01/2014 Last modified: 07/04/2015
     This final notice refers to breaches of FIT related to lack of fitness and propritey in the trading firms sector. We imposed a prohibition.

366. FCA Final Notice 2014: Ian Charles Hannam [pdf]

     Final notices Published: 22/07/2014 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.

367. 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.

368. Final Notice 2020: TFS-ICAP Limited [pdf]

     Final notices Published: 23/11/2020 Last modified: 23/11/2020
     This Final Notice refers to breaches of PRIN 2, PRIN 3 and PRIN 5 related to wholesale conduct in the wholesale broker sector. We imposed a financial penalty.

369. Final notice 2016: Crimson Car Sales [pdf]

     Final notices Published: 14/07/2016 Last modified: 14/07/2016
     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.

370. FCA Final Notice 2013: Michael Conway [pdf]

     Final notices Published: 17/12/2013 Last modified: 07/04/2015
     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.