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Showing 521 to 530 of 1295 search results for This Final Notice refers to breaches of APER.
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Final Notice 2016: Scott Michael Crawley [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition. -
Final Notice 2017: John Poynton [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 2017: Deutsche Bank [pdf]
This final notice refers to breaches of PRIN 3 and SYSC related to culture/governance and financial crime in the investment bank sector. We imposed a fine. -
FCA Final Notice 2014: Euro Remittance Limited [pdf]
This final notice refers to breaches of PSR related to the Payment Services Regulations in the payment services sector. We imposed a cancellation. -
Final Notice 2016: KMLM Ltd [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. -
FCA Final Notice 2014: Jonathan Paul Burrows [pdf]
This final notice refers to breaches of FIT relating to a lack of fitness/propriety in the asset management sector. We imposed a prohibition. -
Final notice 2016: AKV Vehicles Limited [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 2017: Michael Wilkinson Mortgages (trading as Michael Wilkinson) [pdf]
This final notice refers to breaches of PRIN 4, PRIN 11, SUP, MIPRU and COND related to failing to be open and co-operative and threshold conditions in the general insurance and protection and mortgages sector. We imposed a cancellation. -
Final notice 2020: Thomas Jones [pdf]
This final notice (Thomas Jones) 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 2021: Shaffarat Parvez [pdf]
This Final Notice (Shaffarat Parvez) refers to a failure to satisfy the Fit and Proper Test (FIT). We imposed a prohibition.