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Showing 571 to 580 of 1331 search results for This Final Notice refers to breaches of FIT.

  1. Final Notice 2017: Deutsche Bank [pdf]

    Final notices Published: 31/01/2017
    This final notice refers to breaches of PRIN 3 and SYSC related to culture/governance and financial crime in the investment bank sector. We imposed a fine.

  2. Final Notice 2019: Alonso Lopez [pdf]

    Final notices Published: 12/12/2019
    This final notice (Alonso Lopez) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  3. FCA Final Notice 2014: Barclays Bank PLC [pdf]

    Final notices Published: 23/05/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 3 and PRIN 8 related to benchmarks and conflicts of interest in the investment banks sector. We imposed a fine.

  4. Final Notice 2015: Quick Purchase [pdf]

    Final notices Published: 23/10/2015 Last modified: 23/10/2015
    This Final Notice refers to breaches of PRIN 6 and MCOB (Mortgage Conduct of Business Rules) related to unfair treatment of customers in the sale and rent back sector. We imposed a fine and redress.

  5. Final Notice 2017: John Poynton [pdf]

    Final notices Published: 24/05/2017
    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.

  6. Final Notice 2018: Christian Bittar [pdf]

    Final notices Published: 14/09/2018
    This final notice refers to knowing concern in breaches of Principle 5 related to benchmark submissions. We imposed a prohibition.

  7. Final Notice 2020: Inovtrix Ltd [pdf]

    Final notices Published: 17/07/2020
    This final notice Inovtrix Ltd refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

  8. Final Notice 2016: KMLM Ltd [pdf]

    Final notices Published: 22/11/2016
    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.

  9. Final Notice 2023: Brian Hamilton [pdf]

    Final notices Published: 16/08/2023
    This final notice (Brian Hamilton) refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in relation to a firm within the Temporary Permissions Regime. We imposed a

  10. Final Notice 2015: Robin Farrell [pdf]

    Final notices Published: 31/03/2015 Last modified: 31/03/2015
    This final notice refers to breaches of APER 1 and APER 7 related to conflicts of interests and lack of fitness/propriety in the investment advisor sector. We imposed a fine, withdrawal and prohibition.
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