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Showing 161 to 170 of 1068 search results for This final notice refers to breaches of PSR related.

161. Final Notice 2023: Susan Mary Jones [pdf]

     Final notices Published: 27/11/2023
     This Final Notice refers to breaches of Principles for Business 2 related to the provision of unsuitable pension transfer advice in the pensions sector. We imposed a partial prohibition. A payment of £40,888 is being made to the FSCS.

162. Final Notice 2013: Michael Coscia [pdf]

     Final notices Published: 03/07/2013 Last modified: 07/04/2015
     This final notice refers to breaches of MAR related to market abuse in the trading frims sector. We imposed a fine.

163. Final Notice 2022: Barclays Bank plc [pdf]

     Final notices Published: 28/02/2022
     This Final Notice (Barlclays Bank plc) refers to breaches of PRIN 2 related to financial crime in the corporate banking sector. We imposed a financial penalty.

164. Final Notice 2021: Omar Hussein [pdf]

     Final notices Published: 15/10/2021
     This Final Notice refers to breaches of APER 1 and 7 related to failing to act with integrity and failing to demonstrate that suitable advice was given in the pensions sector. We imposed a financial penalty, withdrawal and prohibition.

165. FCA Final Notice 2013: Mr Rahul Shah [pdf]

     Final notices Published: 13/11/2013 Last modified: 07/04/2015
     This final notice refers to breaches of MAR related to market abuse in the investment adviser sector. We imposed a fine and prohibition.

166. Final Notice 2023: Al Rayan Bank PLC [pdf]

     Final notices Published: 11/01/2023
     This Final Notice refers to breaches of Principle 3 related to Financial Crime in the Retail Bank sector. We imposed a Financial Penalty.

167. Final Notice 2019: Potters’ Music Shop (Croydon) Limited [pdf]

     Final notices Published: 25/07/2019
     This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in

168. Final Notice 2023: Christopher Vincent Summers [pdf]

     Final notices Published: 03/10/2023
     This Final Notice (Christopher Vincent Summers) refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

169. Final Notice 2022: Aiden Henderson [pdf]

     Final notices Published: 17/05/2022
     This Final Notice (Aiden Henderson) refers to breaches of APER 1 and FIT related to a lack of fitness/propriety and mis-selling in the investment adviser and pensions sector. We imposed a prohibition and financial penalty.

170. Final Notice 2022: Matthew Charles Kent [pdf]

     Final notices Published: 06/10/2022
     This Final Notice (Matthew Charles Kent) refers to breaches of APER 7 related to the failure to ensure compliance with PRIN 3 in the trading firms sector, which led to further breaches of SUP 17, SUP 15 and Article 16 of MAR. We imposed a financial