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Showing 421 to 430 of 1068 search results for This final notice refers to breaches of PSR related.

  1. Final notice 2016: Elizabeth Anne Parry [pdf]

    Final notices Published: 01/09/2016
    This final notice refers to breaches of APER 1 and FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a fine and prohibition.

  2. Final Notice 2015: Paul Christopher Ridden [pdf]

    Final notices Published: 18/02/2015 Last modified: 18/02/2015
    This final notice refers to breaches of FIT, related to threshold conditions in the consumer credit sector. We imposed a cancellation.

  3. Final Notice 2016: Pinks Agri Limited [pdf]

    Final notices Published: 05/12/2016
    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.

  4. Final Notice 2020: Ballooner Limited [pdf]

    Final notices Published: 25/02/2020
    This final notice (Ballooner Limited) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  5. Final Notice 2015: Michael John Allin [pdf]

    Final notices Published: 05/03/2015 Last modified: 05/03/2015
    This final notice refers to breaches of APER 4 related to failure to be open and cooperative with the Authority. We imposed a fine.

  6. Final Notice 2018: Canara Bank [pdf]

    Final notices Published: 06/06/2018
    This FCA Final Notice (Canara Bank) refers to breaches of Principle 3 and SYSC related to financial crime in the retail bank sector. We imposed a fine and restriction.

  7. Final Notice 2022: Julius Baer International Limited [pdf]

    Final notices Published: 30/11/2022
    This Final Notice refers to breaches of PRIN 1, PRIN 3 and PRIN 11 related to failing to act with integrity, governance and failing to be open and co-operative in the in the Wealth Management and Private Banking sector. We imposed a financial penalty

  8. FCA Final Notice 2014: City & Provincial and Mr Zaffar Hassan Tanweer [pdf]

    Final notices Published: 13/03/2014 Last modified: 07/04/2015
    This final notice refers to breaches of APER 1 and FIT related to mortgage fraud in the mortgages and consumer credit sector. We imposed a prohibition (full), fine, withdrawal and cancellation.

  9. Final notice 2018: VIP Wealth Ltd [pdf]

    Final notices Published: 06/03/2018
    This final notice refers to breaches of COND related to Threshold conditions in the wholesale sector. We imposed a refusal.

  10. Final Notice 2023: Ray Alan Davis [pdf]

    Final notices Published: 15/11/2023
    This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the General Insurance and Protection sector. We imposed a prohibition.