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Showing 381 to 390 of 1090 search results for This Final Notice refers to breaches of APER 1 and 7 related.

381. Final Notice 2015: United Forex Limited [pdf]

     Final notices Published: 05/08/2015 Last modified: 05/08/2015
     This final notice refers to breaches of PSR, related to failing to be open and co-operative in the payment services sector. We imposed a cancellation.

382. Final Notice 2018: Andrew Hind [pdf]

     Final notices Published: 15/11/2018
     This final notice (Andrew Hind) refers to breaches of FIT related to a lack of fitness/propriety in the asset management sector. We imposed a prohibition.

383. Final Notice 2015: Kweku Mawuli Adoboli [pdf]

     Final notices Published: 16/10/2015 Last modified: 16/10/2015
     This final notice refers to breaches of FIT related to lack of fitness/propriety in the investment bank sector. We imposed a prohibition.

384. Final Notice 2022: Santander UK Plc [pdf]

     Final notices Published: 09/12/2022
     This Final Notice refers to breaches of PRIN 3 related to the risk of financial crime in the Retail Banking sector. We imposed a financial penalty.

385. Final notice 2016: Gethin Car Sales [pdf]

     Final notices Published: 14/06/2016 Last modified: 15/06/2016
     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

386. FCA Final Notice 2014: Drain Claim Limited [pdf]

     Final notices Published: 07/01/2014 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 cancellation.

387. Final Notice 2017: Niall O’Kelly [pdf]

     Final notices Published: 07/04/2017
     This final notice refers to breaches of s.118(7) Financial Services and Markets Act 2000 and FIT related to market abuse, a lack of fitness/propriety and client money/assets in the trading firm sector. We imposed a fine and prohibition.

388. Final Notice 2017: HRS (Luton) Limited [pdf]

     Final notices Published: 02/05/2017
     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.

389. Final notice 2016: FJ Autos Limited [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.

390. FCA Final Notice 2014: David John Hobbs [pdf]

     Final notices Published: 25/02/2014 Last modified: 07/04/2015
     This final notice refers to breaches of FIT related to lack of fitness/propriety in the building societies and investment banks sector. We imposed a prohibition.