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Showing 891 to 900 of 1210 search results for This final notice refers to breaches of PRIN 3 related.

  1. Final notice 2016: Peter Charles Johnson [pdf]

    Final notices Published: 31/08/2016 Last modified: 31/08/2016
    This final notice refers to breaches of FIT related to benchmarks, a lack of fitness/propriety and wholesale conduct in the retail bank sector. We imposed a prohibition.

  2. FCA Final Notice 2013: Derek Jones [pdf]

    Final notices Published: 29/04/2013 Last modified: 19/05/2015
    This final notice refers to breaches of APER 6 related to lack of fitness /propriety in the mortgage and consumer credit sector. We imposed a prohibition.

  3. Final Notice: Richard Clay [pdf]

    Final notices Published: 25/10/2016
    This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

  4. Final Notice 2015: Robin Choudhury [pdf]

    Final notices Published: 16/11/2015 Last modified: 16/11/2015
    This final notice refers to breaches of FIT related to lack of fitness/propriety in the general insurance and protection sector. We imposed a prohibition.

  5. Final Notice 2015: Kevin Allen [pdf]

    Final notices Published: 09/06/2015 Last modified: 09/06/2015
    This final notice refers to breaches of APER 1 & FIT related to lack of fitness/propriety in the Mortgages sector. We imposed a prohibition and a public censure.

  6. FCA Final Notice 2013: IBBL Exchange UK Limited (formerly Jalalabad Money Transfer & Travels Limited) [pdf]

    Final notices Published: 18/07/2013 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 services sector. We imposed a cancellation.

  7. Final Notice 2015: Magnus Michael Peterson [pdf]

    Final notices Published: 26/10/2015 Last modified: 26/10/2015
    This Final Notice refers to breaches of FIT related to lack of fitness/propriety in the investment advisor sector. We imposed a prohibition.

  8. Final notice 2016: James Kirkwood [pdf]

    Final notices Published: 03/03/2016 Last modified: 03/03/2016
    This final notice refers to breaches of Principle 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  9. Final Notice 2016: Daniel Peter Terrence Forsyth [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.

  10. Final notice 2016: Gavin Breeze [pdf]

    Final notices Published: 15/07/2016 Last modified: 15/07/2016
    This final notice refers to breaches of s.118(2) and (3) Financial Services and Markets Act 2000 related to market abuse in the issuer sector. We imposed a fine, required restitution and a public censure.