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Showing 381 to 390 of 1090 search results for This final notice refers to breaches of APER 6 related.

381. Final Notice 2018: Andrew Hind [pdf]

     Final notices Published: 15/11/2018
     This final notice (Andrew Hind) refers to breaches of FIT related to a lack of fitness/propriety in the asset management sector. We imposed a prohibition.

382. FCA Final Notice 2014: World Link UK Limited [pdf]

     Final notices Published: 19/05/2014 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.

383. Final Notice 2015: EDS Insure Limited [pdf]

     Final notices Published: 25/06/2015 Last modified: 25/06/2015
     This final notice refers to breaches of PRIN 11 related to threshold conditions in the general insurance and protection sector. We imposed a cancellation.

384. 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.

385. Final Notice 2017: R Taggar [pdf]

     Final notices Published: 18/08/2017
     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.

386. Final Notice 2015: United Forex Limited [pdf]

     Final notices Published: 05/08/2015 Last modified: 05/08/2015
     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.

387. FCA Final Notice 2013: Michael Conway [pdf]

     Final notices Published: 17/12/2013 Last modified: 07/04/2015
     This final notice refers to breaches of FIT related to lack of fitness/propriety in the wealth management and private banking, investment advisers and platforms sector. We imposed a prohibition.

388. Final Notice 2022: Santander UK Plc [pdf]

     Final notices Published: 09/12/2022
     This Final Notice refers to breaches of PRIN 3 related to the risk of financial crime in the Retail Banking sector. We imposed a financial penalty.

389. Final Notice 2020: Jason Taylor [pdf]

     Final notices Published: 04/06/2020
     This final notice (Jason Taylor) refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

390. Final notice 2016: Gethin Car Sales [pdf]

     Final notices Published: 14/06/2016 Last modified: 15/06/2016
     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