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Showing 471 to 480 of 1331 search results for This final notice refers to breaches of FIT.

  1. Final notice 2016: Glyn Goodyear [pdf]

    Final notices Published: 14/04/2016 Last modified: 14/04/2016
    This final notice refers to breaches of PRIN 6, PRIN 11, COND and DISP related to failing to be open and co-operative, unfair treatment of customers and threshold conditions in the consumer credit sector. We imposed a cancellation.

  2. FCA Final Notice 2014: David Gillespie [pdf]

    Final notices Published: 09/10/2014 Last modified: 07/04/2015
    This final notice refers to breaches of APER 1 and APER 6 related to client money/assets in the asset management sector. We imposed a fine, withdrawal and a prohibition.

  3. Final Notice 2020: TFS-ICAP Limited [pdf]

    Final notices Published: 23/11/2020 Last modified: 23/11/2020
    This Final Notice refers to breaches of PRIN 2, PRIN 3 and PRIN 5 related to wholesale conduct in the wholesale broker sector. We imposed a financial penalty.

  4. FCA Final Notice 2013: Jeffrey Simon Bennett [pdf]

    Final notices Published: 12/07/2013 Last modified: 19/05/2015
    This final notice refers to breaches of APER 6 related to misselling and lack of fitness/propriety in the investment advisers and platforms sector. We imposed a fine, a prohibition order and withdrawal of approval.

  5. 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.

  6. 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

  7. 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.

  8. Final Notice 2015: Kenneth George Carver [pdf]

    Final notices Published: 30/03/2015 Last modified: 30/03/2015
    This final notice refers to breaches of MAR related to market abuse in the issuer sector. We imposed a fine.

  9. Final Notice 2015: Aviva Investors Global Services Limited [pdf]

    Final notices Published: 24/02/2015 Last modified: 24/02/2015
    This final notice refers to breaches of PRIN 3, PRIN 8 and COBS related to unfair treatment of customers, conflicts of interest and culture / governance in the Asset management sector. We imposed a fine.

  10. Final notice 2016: FJ Autos Limited [pdf]

    Final notices Published: 25/02/2016 Last modified: 25/02/2016
    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.
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