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Showing 931 to 940 of 1709 search results for This final notice refers to breaches of COND.

931. Final Notice 2016: Aaron Lee Petrou [pdf]

     Final notices Published: 01/11/2016
     This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

932. Final Notice 2017: Lukhvir Thind [pdf]

     Final notices Published: 07/04/2017
     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.

933. Final Notice 2017: Christopher Pickerill [pdf]

     Final notices Published: 25/01/2017
     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.

934. Final Notice 2015: Paivi Grigg [pdf]

     Final notices Published: 11/12/2015 Last modified: 17/12/2015
     This final notice refers to breaches of APER 6 related to appointed representatives, culture/governance and unfair treatment of customers in the investment adviser sector . We imposed a fine.

935. Final Notice 2024: Clive Harris Mongelard [pdf]

     Final notices Published: 12/07/2024
     “This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.” 

936. Final Notice 2020: Frank Cochran [pdf]

     Final notices Published: 05/11/2020
     This Final Notice (Frank Cochran) refers to breaches of FIT by a financial adviser. We imposed a prohibition.

937. Final notice 2016: Crimson Car Sales [pdf]

     Final notices Published: 14/07/2016 Last modified: 14/07/2016
     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.

938. FCA Final Notice 2014: Anthony Verrier [pdf]

     Final notices Published: 29/01/2014 Last modified: 07/04/2015
     This final notice refers to breaches of FIT related to lack of fitness and propritey in the trading firms sector. We imposed a prohibition.

939. FCA Final Notice 2014: Ian Charles Hannam [pdf]

     Final notices Published: 22/07/2014 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.

940. Final Notice 2017: Dale (83) Limited [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.