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Showing 591 to 600 of 1090 search results for This Final Notice refers to breaches of APER 7 related.
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Final Notice 2017: Richard Greenwood [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. -
FCA Final Notice 2014: Currencies House Limited [pdf]
This final notice refers to breaches of PSR related to failing to be open and co-operative in the payment systems sector. We imposed a cancellation. -
FCA Final Notice 2014: Provident Equity Limited [pdf]
This final notice refers to breaches of PSR related to failing to be open and co-operative in the payment systems sector. We imposed a cancellation. -
FCA Final Notice 2014: John Christopher Hughes [pdf]
This final notice refers to breaches of FIT related to market protection, wholesale conduct, and lack of fitness/propriety in the investment bank. We imposed a prohibition. -
FCA Final Notice 2014: Abacus Transfers Limited [pdf]
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. -
Final notice 2017: Paul Axel Walter [pdf]
This final notice refers to breaches of section 118 FSMA related to market abuse in the trading firm sector. We imposed a financial penalty. -
Final Notice 2020: Lychworth Limited [pdf]
This final notice (Lychworth Limited) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation -
FCA Final Notice 2014: Santander UK plc [pdf]
This final notice refers to breaches of PRIN 7, PRIN 9 and COBS related to unfair treatment of customers in the wealth management and private banking, investment advisers and platforms sector. We imposed a fine. -
Final Notice 2017: Amjad Motors Limited [pdf]
This final notice refers to breaches of COND and Principle 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation. -
FCA Final Notice 2014: Pritchard Stockbrokers Limited (In Special Administration) [pdf]
This final notice refers to breaches of PRIN 1, PRIN 2, PRIN 10 related to client money/assets in the asset management sector. We imposed a public censure.