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Showing 371 to 380 of 1295 search results for This Final Notice refers to breaches of APER.
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FCA Final Notice 2013: Sovereign Worldwide Limited [pdf]
This final notice refers to breaches of COND related to threshold conditions and mortgage fraud in the investment advisers and platforms sector. We imposed a withdrawal. -
Final Notice 2018: GMT Cars [pdf]
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. -
Final Notice 2022: Paul Seakens [pdf]
This Final Notice refers to breaches of FIT by an investment platform operator. We imposed a prohibition. -
Final notice 2020: Bicycleshack [pdf]
This final notice (Bicycleshack) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation. -
Final Notice 2019: Eric Ka Chi Siu [pdf]
This final notice (Eric Ka Chi Siu) refers to breaches of the Listing Principles and Disclosure Rules and Transparency Rules in the issuer sector. We imposed a financial penalty. -
Final Notice 2017: Niall O’Kelly [pdf]
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. -
Final Notice 2017: Reuben Cunningham [pdf]
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. -
FCA Final Notice 2014: Investments Limited [pdf]
This final notice refers to breaches of PRIN 3 and SYSC related to culture/goverence in the investment adviser sector. We imposed a public censure, suspension, and restriction. -
FCA Final Notice 2014: Douglas Carroll trading as City and Chartered Mortgage Services [pdf]
This final notice refers to breaches of TC and SUP 16 related to transaction reporting in the general insurance and protection sector. We imposed a withdrawal. -
Final Notice 2018: Alex Hope [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment sector. We imposed a prohibition.