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Showing 131 to 140 of 1090 search results for This Final Notice refers to breaches of APER 1 and 7 related.

131. Final Notice 2015: Leadgen (UK) Limited [pdf]

     Final notices Published: 26/01/2015 Last modified: 26/01/2015
     This final notice refers to breaches of Principle 11 related to threshold conditions breaches in the consumer credit sector. We imposed a cancellation.

132. Final Notice 2015: Reckitt Benckiser Group Plc [pdf]

     Final notices Published: 20/01/2015 Last modified: 20/01/2015
     This final notice refers to breaches of LR and DTR related to listing rules breaches in the issuer sector. We imposed a financial penalty.

133. FCA Final Notice 2014: Deutsche Bank AG (“Deutsche”) [pdf]

     Final notices Published: 28/08/2014 Last modified: 07/04/2015
     This final notice refers to breaches of SUP 17 related to transaction reporting in the investment bank sector. We imposed a fine.

134. Final Notice 2023: Mark Anthony Jensen [pdf]

     Final notices Published: 13/11/2023
     This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

135. Final Notice 2021: Colin Bermingham [pdf]

     Final notices Published: 01/11/2021
     This Final Notice (Colin Bermingham) refers to breaches of FIT related to Lack of fitness/propriety in the Investment Banking. We imposed a prohibition.

136. Final Notice 2020: Nicholas Anderton [pdf]

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

137. Final Notice 2019: Potters’ Music Shop (Croydon) Limited [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

138. Final Notice 2018: Metlife Ltd [pdf]

     Final notices Published: 14/06/2018
     This final notice refers to breaches of Principle 4, COND and MIPRU related to failing to in the general insurance and protection sector. We imposed a cancellation.

139. Final Notice 2023: NMC Health Plc (in Administration) [pdf]

     Final notices Published: 17/11/2023
     This Final Notice refers to breaches of Article 15 EU MAR related to disseminating false and misleading information regarding NMC’s debt positions. We publish a public censure.

140. Final Notice 2017: Adrian 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: Adrian Whitehurst Conduct: Client money/assets; Lack of fitness/propriety