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Showing 481 to 490 of 1074 search results for Final Notice refers to breaches of PSR related.

  1. Final notice 2020: Thomas Jones [pdf]

    Final notices Published: 01/06/2020
    This final notice (Thomas Jones) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

  2. Final Notice 2017: Charles Cook [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.

  3. Final Notice 2017: Motorhaus Ltd [pdf]

    Final notices Published: 06/11/2017 Last modified: 06/11/2017
    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.

  4. Final Notice 2020: John Richards [pdf]

    Final notices Published: 12/02/2020
    This final notice (John Richards) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  5. FCA Final Notice 2014: Barclays Bank PLC [pdf]

    Final notices Published: 23/05/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 3 and PRIN 8 related to benchmarks and conflicts of interest in the investment banks sector. We imposed a fine.

  6. Final notice 2016: Peter Charles Bottomley [pdf]

    Final notices Published: 08/03/2016 Last modified: 08/03/2016
    This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

  7. Final notice 2015: Vroni O'Brien [pdf]

    Final notices Published: 17/12/2015 Last modified: 17/12/2015
    This final notice refers to breaches of APER 2, APER 7, FIT and CASS related to a lack of fitness/propriety, client money/assets and failing to act on information appropriately in the general insurance and protection sector. We imposed a fine and

  8. Final Notice 2015: Ghanshyam Sarup Batra [pdf]

    Final notices Published: 07/08/2015 Last modified: 07/08/2015
    This final notice refers to breaches of FIT, APER 1, APER 4 related to lack of fitness/propriety and failing to be open and co-operative in the mortgages sector. We imposed a prohibition and a withdrawal.

  9. Final Notice: Excel Leasing Limited [pdf]

    Final notices Published: 21/10/2016
    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.

  10. Final Notice 2018: Edward John Booth [pdf]

    Final notices Published: 25/07/2018
    This final notice refers to breaches of FIT related to lack of fitness/propriety and unfair treatment of customers in the consumer credit sector. We imposed a prohibition.
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