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Showing 571 to 580 of 4701 search results for final notice refers.

571. FCA Final Notice 2014: Shahid Sultan Babar [pdf]

     Final notices Published: 11/07/2014 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 systems sector. We imposed a cancellation.

572. Final notice 2016: GGK Investments Limited [pdf]

     Final notices Published: 15/06/2016 Last modified: 15/06/2016
     This final notice refers to breaches of PRIN 4, COND and INPRU-INV related to threshold conditions in the investment adviser sector. We imposed a cancellation.

573. Final Notice 2017: Steven Paul Billing [pdf]

     Final notices Published: 28/02/2017
     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.

574. Final Notice 2019: Philips Legal Solutions Limited [pdf]

     Final notices Published: 01/05/2019
     This final notice (Philips Legal Solutions Limited) refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the consumer credit sector. We imposed a cancellation.

575. 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.

576. FCA Final Notice 2013: ICAP Europe Ltd [pdf]

     Final notices Published: 25/09/2013 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 3 and PRIN 5 related to wholesale conduct, benchmarks, and culture/governance in the trading firms sector. We imposed a fine.

577. Final notice 2018: Ian Hodgkinson [pdf]

     Final notices Published: 10/01/2018
     This final notice refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the consumer credit sector. We imposed a cancellation.

578. Final Notice 2017: David Samuel Watters [pdf]

     Final notices Published: 14/07/2017
     This final notice refers to breaches of APER 6 related to a lack of competence in the pensions sector.

579. Final Notice 2018: Jonathan Mathew [pdf]

     Final notices Published: 02/11/2018
     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.

580. Final Notice 2015: Kweku Mawuli Adoboli [pdf]

     Final notices Published: 16/10/2015 Last modified: 16/10/2015
     This final notice refers to breaches of FIT related to lack of fitness/propriety in the investment bank sector. We imposed a prohibition.