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Showing 511 to 520 of 2125 search results for This final notice refers to breaches.

  1. Final Notice 2017: Christopher Niehaus [pdf]

    Final notices Published: 30/03/2017
    This final notice refers to breaches of APER 2 related to wholesale conduct in the investment banking sector. We imposed a fine.

  2. FCA Final Notice 2013: Montague Capital Limited [pdf]

    Final notices Published: 10/05/2013 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.

  3. FCA Final Notice 2014: Daniel James Plunkett [pdf]

    Final notices Published: 23/05/2014 Last modified: 07/04/2015
    This final notice refers to breaches of FIT, APER 1 and APER 3 related to lack of fitness and propriety, conflicts of interest in the investment banks sector. We imposed a prohibition and a fine.

  4. Final notice 2016: Generate Green Limited [pdf]

    Final notices Published: 15/08/2016 Last modified: 15/08/2016
    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.

  5. FCA Final Notice 2014: Codeway Finance Limited [pdf]

    Final notices Published: 14/08/2014 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 services sector. We imposed a cancellation.

  6. FCA Final Notice 2014: GS Cars (UK) Limited [pdf]

    Final notices Published: 28/08/2014 Last modified: 07/04/2015
    This final notice refers to breaches of COND related to lack of fitness/propriety in the consumer credit sector. We imposed a refusal.

  7. Final notice 2016: Knight Home Improvements Limited [pdf]

    Final notices Published: 08/01/2016 Last modified: 08/01/2016
    This final notice refers to breaches of PRIN 11 and COND related to failing to be open and co-operative in the consumer credit sector. We imposed a refusal.

  8. 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.

  9. Final Notice 2016: Bangla Express Limited [pdf]

    Final notices Published: 24/11/2016
    This final notice refers to breaches of PSR related to failing to be open and co-operative and payment services regulations in the payment services sector. We imposed a cancellation.

  10. Final Notice 2018: John Lawrence Radford [pdf]

    Final notices Published: 30/08/2018
    This final notice refers to breaches of APER 6, APER 7 and CASS relating to client money/assets and lack of fitness/propriety in the general insurance and protection sector. We imposed a fine and prohibition.
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