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Showing 261 to 270 of 2098 search results for This Final Notice refers to breaches.

261. 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.

262. Final notice 2016: RM Trade Sales Limited [pdf]

     Final notices Published: 12/05/2016 Last modified: 12/05/2016
     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.

263. 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.

264. Final Notice 2015: Unitransfer Limited [pdf]

     Final notices Published: 11/08/2015 Last modified: 11/08/2015
     This final notice refers to breaches of PSR, related to payment service regulations and failing to be open and co-operative in the payment services sector. We imposed a cancellation.

265. Final Notice 2020: Shruti Patel aka Cindy Brad [pdf]

     Final notices Published: 09/12/2020 Last modified: 09/12/2020
     This Final Notice refers to breaches of FIT by an unapproved mortgage advisor. We imposed a prohibition.

266. 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.

267. Final Notice 2016: Ross Tony Peters [pdf]

     Final notices Published: 01/11/2016
     This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

268. Final Notice 2016: Aaron Lee Petrou [pdf]

     Final notices Published: 01/11/2016
     This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

269. 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.

270. Final Notice 2017: Christopher Pickerill [pdf]

     Final notices Published: 25/01/2017
     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.