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Showing 211 to 220 of 1068 search results for This Final Notice refers to breaches of PSR related.

  1. 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.

  2. 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.

  3. 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

  4. 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.

  5. Final Notice 2017: Billy Davis [pdf]

    Final notices Published: 12/04/2017
    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 2017: Eric Randle [pdf]

    Final notices Published: 12/04/2017
    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.

  7. Final Notice 2017: Steve Beaty [pdf]

    Final notices Published: 10/05/2017
    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.

  8. FCA Final Notice 2013: Daniel Norris [pdf]

    Final notices Published: 23/10/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 11 related to threshold conditions in the general insurance and protection. We imposed a cancellation.

  9. Final notice 2016: Peter Charles Johnson [pdf]

    Final notices Published: 31/08/2016 Last modified: 31/08/2016
    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.

  10. FCA Final Notice 2013: Coöperatieve Centrale Raiffeisen–Boerenleenbank B.A. (Rabobank) [pdf]

    Final notices Published: 29/10/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 2, PRIN 3, and PRIN 5 related to benchmarks in the investment banks sector. We imposed a fine.