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Showing 181 to 190 of 1090 search results for This Final Notice refers to breaches of APER 1 and 7 related.

  1. FCA Final Notice 2014: UBS AG [pdf]

    Final notices Published: 12/11/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 3 related to wholesale conduct and benchmarks in the investment bank sector. We imposed a fine.

  2. FCA Final Notice 2014: Mark Stevenson [pdf]

    Final notices Published: 20/03/2014 Last modified: 07/04/2015
    This final notice refers to breaches of MAR related to market abuse in the investment banks sector. We imposed a fine and prohibition.

  3. Final Notice 2015: Michael Banks [pdf]

    Final notices Published: 17/02/2015 Last modified: 17/02/2015
    This final notice refers to breaches of TC related to threshold conditions in the consumer credit sector. We imposed a refusal.

  4. Final notice 2016: Jawad Khan [pdf]

    Final notices Published: 25/02/2016 Last modified: 25/02/2016
    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.

  5. Final notice 2016: Patrick Gray [pdf]

    Final notices Published: 09/06/2016 Last modified: 09/06/2016
    This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

  6. Final notice 2016: Lester Evans [pdf]

    Final notices Published: 15/04/2016 Last modified: 15/04/2016
    This final notice refers to breaches of PRIN 11 and COND related to failing to be open and cooperative and threshold conditions in the general insurance and protection sector. We imposed a cancellation.

  7. Final notice 2016: Mr Paul White [pdf]

    Final notices Published: 12/04/2016 Last modified: 12/04/2016
    This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment bank sector. We imposed a prohibition and public censure.

  8. FCA Final Notice 2014: Ewan King [pdf]

    Final notices Published: 30/01/2014 Last modified: 19/05/2015
    This final notice refers to breaches of PRIN 1 related to lack of fitness/propriety in the investment adviser sector. We imposed a fine and a prohibition.

  9. FCA Final Notice 2014: HSBC Bank Plc [pdf]

    Final notices Published: 12/11/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 3 related to wholesale conduct and benchmarks in the investment bank sector. We imposed a fine.

  10. FCA Final Notice 2014: Michael Bains [pdf]

    Final notices Published: 06/01/2014 Last modified: 07/04/2015
    This final notice refers to breaches of FIT related to lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.