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Showing 221 to 230 of 3277 search results for This final notice refers.

221. Final Notice 2016: Phillip Whiffin [pdf]

     Final notices Published: 17/11/2016
     This final notice refers to breaches of PRIN 11 and SUP related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

222. FCA Final Notice 2013: Kuya J’s Filipino Store Limited [pdf]

     Final notices Published: 02/07/2013 Last modified: 07/04/2015
     This Final Notice refers to breaches of PSR related to failing to be open and co-operative in the

223. Final notice 2015: Vroni O'Brien [pdf]

     Final notices Published: 17/12/2015 Last modified: 17/12/2015
     This final notice refers to breaches of APER 2, APER 7, FIT and CASS related to a lack of fitness/propriety, client money/assets and failing to act on information appropriately in the general insurance and protection sector. We imposed a fine and

224. FCA Final Notice 2014: Douglas Carroll trading as City and Chartered Mortgage Services [pdf]

     Final notices Published: 28/08/2014 Last modified: 07/04/2015
     This final notice refers to breaches of TC and SUP 16 related to transaction reporting in the general insurance and protection sector. We imposed a withdrawal.

225. Final Notice 2017: Reuben Anderson [pdf]

     Final notices Published: 24/01/2017
     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.

226. FCA Final Notice 2014: JPMorgan Chase Bank 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.

227. FCA Final Notice 2014: The Royal Bank of Scotland Plc [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.

228. 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.

229. Final notice 2016: Mark Andrew Walker [pdf]

     Final notices Published: 13/07/2016 Last modified: 13/07/2016
     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.

230. Final Notice 2023: Smilewise Limited [pdf]

     Final notices Published: 27/03/2023
     This final notice refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the consumer credit sector. We imposed a cancellation.