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Showing 141 to 150 of 2125 search results for This final notice refers to breaches.

141. Final Notice 2024: Floris Jakobus Huisamen [pdf]

     Final notices Published: 13/02/2024
     This Final Notice refers to breaches of CoBS related to financial promotions in the Issuer sector. We

142. Final Notice 2023: Geoffrey Edward Armin [pdf]

     Final notices Published: 03/11/2023
     This Final Notice refers to breaches of Statements of Principle 2 and 7 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We imposed a partial prohibition. A payment of £200,000 is being made to

143. FCA Final Notice 2014: Mohammed Ayoob [pdf]

     Final notices Published: 20/06/2014 Last modified: 07/04/2015
     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.

144. 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.

145. FCA Final Notice 2013: Porta Verde Financial Services Limited [pdf]

     Final notices Published: 24/10/2013 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 3, PRIN 6 and PRIN 7 related to appointed representatives, and unfair treatment of customers in the general insurance and protection sector. We imposed a fine.

146. FCA Final Notice 2013: Quakle Limited [pdf]

     Final notices Published: 03/10/2013 Last modified: 07/04/2015
     This final notice refers to breaches of PSR related to failing to be open and co-operative in the payment systems sector. We imposed a cancellation.

147. Final Notice 2015: Rogerio Pinto [pdf]

     Final notices Published: 12/02/2015 Last modified: 02/04/2015
     This final notice refers to breaches of FIT related to lack of fitness and propriety in the trading firm sector. We imposed a refusal.

148. FCA Final Notice 2014: State Street [pdf]

     Final notices Published: 31/01/2014 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 6 and PRIN 7 related to wholesale conduct, unfair treatment of customers in the investment banks sector. We imposed a fine.

149. FCA Final Notice 2014: Besso Limited [pdf]

     Final notices Published: 19/03/2014 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 3 related to anti-Bribery and corruption in the general insurance and protection sector. We imposed a fine.

150. FCA Final Notice 2013: Alison Moran [pdf]

     Final notices Published: 04/10/2013 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 6 related to financial promotions and unfair treatment of customers in the investment advisers and platforms sector. We imposed a penalty.