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Showing 151 to 160 of 1295 search results for This Final Notice refers to breaches of APER.

151. Final Notice 2020: John Butterfield [pdf]

     Final notices Published: 12/10/2020 Last modified: 12/10/2020
     This Final Notice (John Leonard Butterfield) refers to breaches of FIT 2.1 related to lack of fitness and propriety in the Investment Adviser sector. We imposed a prohibition.

152. Final Notice 2022: Andrew Roy Brooke [pdf]

     Final notices Published: 06/04/2022
     This Final Notice (Andrew Roy Brooke) refers to breaches of FIT. We imposed a prohibition.

153. Final Notice 2020: Kirt Blackburn [pdf]

     Final notices Published: 05/05/2020
     This final notice (Kirt Blackburn) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

154. Final Notice 2017: Christine Whitehurst [pdf]

     Final notices Published: 23/10/2017
     This final notice refers to breaches of FIT related to client money/assets and lack of fitness/propriety in the consumer credit sector. We imposed a prohibition. Final Notice: Christine Whitehurst Conduct: Client money/assets; Lack of

155. Final Notice 2017: Eastern Union Remittance and Exchange Limited [pdf]

     Final notices Published: 30/08/2017
     This final notice refers to breaches of Principle 11 related to failing to be open and

156. Final Notice 2020: Jarnail Singh Basran [pdf]

     Final notices Published: 21/05/2020
     This final notice (Jarnail Singh Basran) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

157. Final Notice 2019: Vale Veterinary Group [pdf]

     Final notices Published: 25/07/2019
     This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in

158. Final Notice 2013: Michael Coscia [pdf]

     Final notices Published: 03/07/2013 Last modified: 07/04/2015
     This final notice refers to breaches of MAR related to market abuse in the trading frims sector. We imposed a fine.

159. Final Notice 2023: Al Rayan Bank PLC [pdf]

     Final notices Published: 11/01/2023
     This Final Notice refers to breaches of Principle 3 related to Financial Crime in the Retail Bank sector. We imposed a Financial Penalty.

160. FCA Final Notice 2013: Mr Rahul Shah [pdf]

     Final notices Published: 13/11/2013 Last modified: 07/04/2015
     This final notice refers to breaches of MAR related to market abuse in the investment adviser sector. We imposed a fine and prohibition.