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Showing 381 to 390 of 1295 search results for This Final Notice refers to breaches of APER.

381. Final Notice 2017: Raj Von Badlo [pdf]

     Final notices Published: 20/02/2017
     This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

382. FCA Final Notice 2013: Kiskidee Limited [pdf]

     Final notices Published: 19/07/2013 Last modified: 07/04/2015
     This Final Notice refers to breaches of PRIN 11 related to threshold conditions in the general insurance and protection sector. We imposed a cancellation.

383. 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.

384. Final Notice 2020: RL Cars [pdf]

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

385. Final Notice 2024: Clive Harris Mongelard [pdf]

     Final notices Published: 12/07/2024
     “This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.” 

386. Final Notice 2023: LCUK Finance Ltd [pdf]

     Final notices Published: 03/04/2023
     This final notice refers to a failure to be open and co-operative with the Authority PRIN 11.

387. Final Notice 2019: David John Mills [pdf]

     Final notices Published: 21/06/2019
     This final notice refers to breaches of FIT related to a lack of fitness/propriety. We imposed a prohibition.

388. Final Notice 2018: Neil Danziger [pdf]

     Final notices Published: 08/01/2018
     This final notice refers to breaches of PRIN 5 and FIT related to benchmarks, lack of fitness/propriety and wholesale conduct in the investment bank sector. We imposed a fine and prohibition.

389. 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.

390. 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.