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Showing 201 to 210 of 1090 search results for This Final Notice refers to breaches of APER 1 and 7 related.
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Final Notice 2017: Ashby Sales [pdf]
This final notice 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 2016: Iain Strang [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 2016: Peter Charles Johnson [pdf]
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. -
Final Notice 2020: Goldman Sachs International (GSI) [pdf]
This Final Notice refers to breaches of PRIN 2 and PRIN 3 related to wholesale conduct in the investment bank sector. We imposed a financial penalty. -
FCA Final Notice 2014: JPMorgan Chase Bank N.A. [pdf]
This final notice refers to breaches of PRIN 3 related to wholesale conduct and benchmarks in the investment bank sector. We imposed a fine. -
Final Notice 2017: Billy Davis [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: Eric Randle [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: Steve Beaty [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 2015: Robin Choudhury [pdf]
This final notice refers to breaches of FIT related to lack of fitness/propriety in the general insurance and protection sector. We imposed a prohibition. -
FCA Final Notice 2014: The Royal Bank of Scotland Plc [pdf]
This final notice refers to breaches of PRIN 3 related to wholesale conduct and benchmarks in the investment bank sector. We imposed a fine.