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Showing 371 to 380 of 1068 search results for This Final Notice refers to breaches of PSR related.

371. Final notice 2016: Crimson Car Sales [pdf]

     Final notices Published: 14/07/2016 Last modified: 14/07/2016
     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.

372. Final Notice 2016: Dale Robert Walker [pdf]

     Final notices Published: 01/11/2016
     This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

373. Final Notice: FC Group Limited [pdf]

     Final notices Published: 21/10/2016
     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.

374. FCA Final Notice 2014: Nick Bowyer [pdf]

     Final notices Published: 05/11/2014 Last modified: 07/04/2015
     This final notice refers to breaches of APER 6 related to unfair treatment of customers, mis-selling, remuneration, and culture/governance in the payment services sector. We imposed a fine and a prohibition.

375. Final Notice 2020: TFS-ICAP Limited [pdf]

     Final notices Published: 23/11/2020 Last modified: 23/11/2020
     This Final Notice refers to breaches of PRIN 2, PRIN 3 and PRIN 5 related to wholesale conduct in the wholesale broker sector. We imposed a financial penalty.

376. FCA Final Notice 2013: Praetor Capital LLP [pdf]

     Final notices Published: 02/07/2013 Last modified: 07/04/2015
     This Final Notice refers to breaches of PRIN 11 related to threshold conditions in the asset management sector. We imposed a cancellation.

377. 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.

378. FCA Final Notice 2014: David Gillespie [pdf]

     Final notices Published: 09/10/2014 Last modified: 07/04/2015
     This final notice refers to breaches of APER 1 and APER 6 related to client money/assets in the asset management sector. We imposed a fine, withdrawal and a prohibition.

379. Final Notice 2015: EDS Insure Limited [pdf]

     Final notices Published: 25/06/2015 Last modified: 25/06/2015
     This final notice refers to breaches of PRIN 11 related to threshold conditions in the general insurance and protection sector. We imposed a cancellation.

380. FCA Final Notice 2014: Citibank N.A. [pdf]

     Final notices Published: 12/11/2014 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 3 related to wholesale conduct and benchmarks in the investment bank sector. We imposed a fine.