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Showing 411 to 420 of 1074 search results for Final Notice refers to breaches of PSR related.

411. FCA Final Notice 2014: Citibank 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.

412. Final Notice 2023: Ray Alan Davis [pdf]

     Final notices Published: 15/11/2023
     This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the General Insurance and Protection sector. We imposed a prohibition.

413. Final Notice: Motor Spot Limited [pdf]

     Final notices Published: 13/10/2016
     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.

414. Final Notice 2023: Mr Paul Steel [pdf]

     Final notices Published: 04/07/2023
     This Final Notice refers to breaches of APER 1, 2 and 4, and COCON 1 and 3 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We imposed a financial penalty and a prohibition.

415. Final Notice 2018: John McCullagh [pdf]

     Final notices Published: 03/10/2018
     This final notice refers to breaches of FIT related to a lack of fitness/propriety in the consumer credit sector. We imposed a prohibition.

416. Final Notice 2017: Electronicoutlets [pdf]

     Final notices Published: 09/10/2017
     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

417. Final Notice 2018: Canara Bank [pdf]

     Final notices Published: 06/06/2018
     This FCA Final Notice (Canara Bank) refers to breaches of Principle 3 and SYSC related to financial crime in the retail bank sector. We imposed a fine and restriction.

418. Final Notice 2018: Russell 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.

419. Final notice 2016: Good Motors 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.

420. FCA Final Notice 2013: Richards Wines and Levy Limited [pdf]

     Final notices Published: 06/08/2013 Last modified: 07/04/2015
     This final notice refers to breaches of TC related to threshold conditions in the general insurance and protection sector. We imposed a cancellation.