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Showing 551 to 560 of 1295 search results for This Final Notice refers to breaches of APER.

551. Final Notice 2018: Arif Hussein [pdf]

     Final notices Published: 23/08/2018
     This final notice refers to breaches of FIT related to lack of fitness/propriety and benchmarks in the investment bank sector. We imposed a prohibition.

552. FCA Final Notice 2013: ICAP Europe Ltd [pdf]

     Final notices Published: 25/09/2013 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 3 and PRIN 5 related to wholesale conduct, benchmarks, and culture/governance in the trading firms sector. We imposed a fine.

553. Final Notice 2018: Jonathan Mathew [pdf]

     Final notices Published: 02/11/2018
     This final notice refers to breaches of FIT related to benchmarks, a lack of fitness/propriety and wholesale conduct in the retail bank sector. We imposed a prohibition.

554. Final Notice 2015: Badruzzaman Choudhury [pdf]

     Final notices Published: 17/08/2015 Last modified: 17/08/2015
     This final notice refers to breaches of PSR, related to payment services regulations and failing to be open and co-operative in the payment services sector. We imposed a cancellation.

555. Final notice 2016: Peter Charles Bottomley [pdf]

     Final notices Published: 08/03/2016 Last modified: 08/03/2016
     This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

556. Final notice 2016: CT Capital Limited [pdf]

     Final notices Published: 01/06/2016 Last modified: 01/06/2016
     This final notice refers to breaches of PRIN 3 and PRIN 6 related to complaints-handling and the unfair treatment of customers in the general insurance and protection sector. We imposed a fine.

557. Final Notice 2017: Claudia Vida [pdf]

     Final notices Published: 30/08/2017
     This final notice refers to breaches of Principle 11 and SUP related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

558. Final Notice 2017: Kenneth Wills [pdf]

     Final notices Published: 11/04/2017
     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.

559. Final Notice 2021: Donna Worsfold [pdf]

     Final notices Published: 02/12/2021
     This final notice refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative (PRIN 11) in the credit broking sector. We refused the firm’s application for authorisation.

560. FCA Final Notice 2013: Mark Richard Faulkner [pdf]

     Final notices Published: 29/07/2013 Last modified: 07/04/2015
     This final notice refers to breaches of TC related to threshold conditions in the general insurance and protection sector. We imposed a OIVOP and a cancellation.