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Showing 691 to 700 of 1074 search results for Final Notice refers to breaches of PSR related.

691. Final Notice 2017: Church Hill Finance (Anthony Badaloo trading as) [pdf]

     Final notices Published: 09/11/2017
     This Final Notice refers to breaches of COND related to threshold conditions in the investment adviser sector. We imposed a cancellation.

692. Final Notice 2017: Car For Today Ltd [pdf]

     Final notices Published: 24/05/2017
     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.

693. Final Notice 2020: S M Motorhouse Ltd [pdf]

     Final notices Published: 28/10/2020 Last modified: 28/10/2020
     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.

694. FCA Final Notice 2013: JPMorgan Chase Bank, N.A. [pdf]

     Final notices Published: 19/09/2013 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 2, PRIN 3, PRIN 5, and PRIN 11 related to wholesale conduct, market protection, and failing to be open and co-operative in the investment banks sector. We imposed a fine.

695. Final Notice 2017: NRG Installer Ltd [pdf]

     Final notices Published: 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.

696. FCA Final Notice 2014: Martin Brokers (UK) Ltd (Martins) [pdf]

     Final notices Published: 15/05/2014 Last modified: 24/02/2015
     This final notice refers to breaches of PRIN 3 and PRIN 5 related to wholesale conduct, benchmarks, and culture/governance in the trading firm. We imposed a fine.

697. Final notice 2016: Bar Professions Limited (in liquidation) [pdf]

     Final notices Published: 01/02/2016 Last modified: 01/02/2016
     This final notice refers to breaches of PRIN 2, PRIN 7 and ICOBS related to appointed representatives and failing to act on information appropriately in the general insurance and protection sector. We imposed a public censure.

698. Final Notice 2017: Hugo Henry Adkins [pdf]

     Final notices Published: 24/05/2017
     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.

699. FCA Final Notice 2014: Arnold Gary Eber [pdf]

     Final notices Published: 27/02/2014 Last modified: 07/04/2015
     This final notice refers to breaches of FIT related to failing to be open and co-operative, and lack of fitness/propriety in the investment advisers and platforms sector. We imposed a public censure and a prohibition.

700. Final Notice 2015: Stephen Edward Bell [pdf]

     Final notices Published: 13/03/2015 Last modified: 31/03/2015
     This final notice refers to breaches of PRIN 3 (knowing concern) and FIT related to the lack of fitness/propriety, culture/governance and appointed representatives in the general insurance and protection, investment adviser and platform sector. We