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Showing 521 to 530 of 2125 search results for This final notice refers to breaches.

521. Final notice 2016: Robert John Bygrave [pdf]

     Final notices Published: 01/02/2016 Last modified: 01/02/2016
     This final notice refers to breaches of APER 6, FIT and CASS related to appointed representatives, failing to act on information appropriately, client money, lack of fitness/propriety and unfair treatment of customers in the general insurance and

522. FCA Final Notice 2014: John Christopher Hughes [pdf]

     Final notices Published: 29/04/2014 Last modified: 07/04/2015
     This final notice refers to breaches of FIT related to market protection, wholesale conduct, and lack of fitness/propriety in the investment bank. We imposed a prohibition.

523. Final Notice 2019: Vale Veterinary Group [pdf]

     Final notices Published: 25/07/2019
     This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in

524. Final Notice 2017: Janice Maureen Tomlinson [pdf]

     Final notices Published: 02/05/2017
     This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

525. FCA Final Notice 2013: Leader Transfer Limited [pdf]

     Final notices Published: 04/11/2013 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.

526. Final Notice 2024: Citigroup Global Markets Limited [pdf]

     Final notices Published: 22/05/2024
     This Final Notice refers to breaches of PRIN 2 and 3, and MAR 7A 3.2 related to wholesale conduct in the investment bank sector. We imposed a fine.

527. Final Notice 2017: Alt-P Limited [pdf]

     Final notices Published: 18/08/2017
     This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

528. Final Notice 2023: Lighthouse Advisory Services Limited [pdf]

     Final notices Published: 15/05/2023
     This Final Notice refers to breaches of Principles 9 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We published a public censure

529. FCA Final Notice 2014: David John Hewitt trading as Bexley Insurance Centre [pdf]

     Final notices Published: 12/08/2014 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 11 related to threshold conditions in the general insurance, intermediary sector. We imposed a cancellation.

530. Final Notice 2015: Ralph Whittington [pdf]

     Final notices Published: 10/09/2015 Last modified: 10/09/2015
     This final notice refers to breaches of APER 1 and FIT related to lack of fitness/propriety, client money/assets and insurance fraud in the general insurance and protection sector. We imposed a fine, prohibition, and withdrawal.