Search results

Showing 191 to 200 of 1090 search results for This Final Notice refers to breaches of APER 7 related.

191. Final Notice 2020: Goldman Sachs International (GSI) [pdf]

     Final notices Published: 22/10/2020 Last modified: 22/10/2020
     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.

192. 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.

193. 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.

194. FCA Final Notice 2014: Andrew Barlas [pdf]

     Final notices Published: 24/09/2014 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 1 related to mortgage fraud in the mortgages sector. We imposed a public censure.

195. Final Notice 2017: Gary Drury [pdf]

     Final notices Published: 17/05/2017
     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.

196. Final Notice 2017: Ashby Sales [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.

197. Final Notice 2017: John Green [pdf]

     Final notices Published: 02/02/2017
     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.

198. Final Notice 2022: TFS Loans Ltd (in administration) [pdf]

     Final notices Published: 10/06/2022
     This Final Notice (TFS Loans Ltd in administration) refers to breaches of the Principle 6 and 3 and CONC related to the unfair treatment of customers acting as guarantors in the consumer credit sector. A financial penalty has been imposed and TFS

199. 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.

200. Final Notice 2016: Iain Strang [pdf]

     Final notices Published: 25/11/2016
     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.