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Showing 491 to 500 of 1068 search results for This final notice refers to breaches of PSR related.

491. FCA Final Notice 2014: Barclays Bank PLC [pdf]

     Final notices Published: 23/05/2014 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 3 and PRIN 8 related to benchmarks and conflicts of interest in the investment banks sector. We imposed a fine.

492. Final notice 2015: Vroni O'Brien [pdf]

     Final notices Published: 17/12/2015 Last modified: 17/12/2015
     This final notice refers to breaches of APER 2, APER 7, FIT and CASS related to a lack of fitness/propriety, client money/assets and failing to act on information appropriately in the general insurance and protection sector. We imposed a fine and

493. FCA Final Notice 2013: Mark Richard Faulkner [pdf]

     Final notices Published: 29/07/2013 Last modified: 07/04/2015
     This final notice refers to breaches of TC related to threshold conditions in the general insurance and protection sector. We imposed a OIVOP and a cancellation.

494. FCA Final Notice 2014: Derick Anthony Whewall [pdf]

     Final notices Published: 21/05/2014 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 11 related to threshold conditions in the general insurance and protection sector. We imposed a cancellation.

495. FCA Final Notice 2013: JLT Specialty Limited [pdf]

     Final notices Published: 19/12/2013 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 3 related to financial crime in the general insurance and protection sector. We imposed a fine.

496. FCA Final Notice 2013: Clydesdale Bank PLC [pdf]

     Final notices Published: 26/09/2013 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 6 related to unfair treatment of customers in the retail banks sector. We imposed a fine and redress.

497. Final Notice 2017: Baildon Motor Company [pdf]

     Final notices Published: 25/01/2017
     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.

498. Final Notice 2020: John Richards [pdf]

     Final notices Published: 12/02/2020
     This final notice (John Richards) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

499. Final Notice 2019: Guiseppe Oliverio [pdf]

     Final notices Published: 28/08/2019
     This final notice refers to breaches of FIT related to a lack of fitness/propriety in the private business adviser sector. We imposed a prohibition.

500. Final Notice 2019: Lynden Gerard Scourfield [pdf]

     Final notices Published: 21/06/2019
     This final notice refers to breaches of FIT related to a lack of fitness/propriety in the retail banking sector. We imposed a prohibition.