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Showing 571 to 580 of 1201 search results for This final notice refers to breaches of COND related.
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Final Notice 2017: Nazia Naweed Shah [pdf]
This final notice refers to breaches of PSR related to failing to be open and cooperative in the payment services sector. We imposed a cancellation. -
Final Notice 2018: Christian Bittar [pdf]
This final notice refers to knowing concern in breaches of Principle 5 related to benchmark submissions. We imposed a prohibition. -
Final notice 2016: EVS Trading Limited [pdf]
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. -
Final Notice 2021: Crosfill & Archer Claims Limited [pdf]
This Final Notice refers to breaches of breach of the Conduct of Authorised Persons Rules 2014 (“CAPR”) related to unfair treatment of customers in the claims management sector. We imposed a financial penalty. -
FCA Final Notice 2013: John Patrick Morris [pdf]
This final notice refers to breaches of TC related to threshold conditions in the general insurance and protection sector. We imposed a OIVOP and cancellation. -
Final Notice 2018: Arif Hussein [pdf]
This final notice refers to breaches of FIT related to lack of fitness/propriety and benchmarks in the investment bank sector. We imposed a prohibition. -
FCA Final Notice 2014: Leanne Marie Nicholson [pdf]
This final notice refers to breaches of FIT related to lack of fitness/propriety in the investment advisor sector. We imposed a prohibition. -
Final Notice 2015: Quick Purchase [pdf]
This Final Notice refers to breaches of PRIN 6 and MCOB (Mortgage Conduct of Business Rules) related to unfair treatment of customers in the sale and rent back sector. We imposed a fine and redress. -
Final Notice 2015: Barclays Bank PLC - November 2015 [pdf]
This final notice refers to breaches of PRIN 2 related to financial crime failings. We imposed a fine. -
Final Notice 2018: Ludu Energy Limited [pdf]
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.