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Showing 361 to 370 of 1090 search results for This final notice refers to breaches of APER 6 related.
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Final notice 2016: David Michael Sayer trading as D M Sayer and Co (Insurance) [pdf]
This final notice refers to breaches of PRIN 11 and COND related to failing to be open and cooperative and threshold conditions in the general insurance and protection sector. We imposed a cancellation. -
Final Notice 2019: Mark Dobson [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety in the retail banking sector. We imposed a prohibition. -
FCA Final Notice 2014: Anthony Verrier [pdf]
This final notice refers to breaches of FIT related to lack of fitness and propritey in the trading firms sector. We imposed a prohibition. -
FCA Final Notice 2014: Ian Charles Hannam [pdf]
This final notice refers to breaches of MAR related to market abuse in the investment banks sector. We imposed a fine. -
Final Notice 2018: Alan Taylor [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition. -
Final Notice 2017: Niall O’Kelly [pdf]
This final notice refers to breaches of s.118(7) Financial Services and Markets Act 2000 and FIT related to market abuse, a lack of fitness/propriety and client money/assets in the trading firm sector. We imposed a fine and prohibition. -
Final Notice 2015: Kenneth George Carver [pdf]
This final notice refers to breaches of MAR related to market abuse in the issuer sector. We imposed a fine. -
FCA Final Notice 2014: Douglas Carroll trading as City and Chartered Mortgage Services [pdf]
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. -
Final Notice 2015: Unitransfer Limited [pdf]
This final notice refers to breaches of PSR, related to payment service regulations and failing to be open and co-operative in the payment services sector. We imposed a cancellation. -
FCA Final Notice 2013: Porta Verde Financial Services Limited [pdf]
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.