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Showing 621 to 630 of 4701 search results for final notice refers.

621. Final Notice 2018: Christian Bittar [pdf]

     Final notices Published: 14/09/2018
     This final notice refers to knowing concern in breaches of Principle 5 related to benchmark submissions. We imposed a prohibition.

622. Final Notice 2018: Lynette Muffitt [pdf]

     Final notices Published: 24/04/2018
     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.

623. Final notice 2016: Edge Performance 10 Limited [pdf]

     Final notices Published: 13/07/2016 Last modified: 13/07/2016
     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.

624. FCA Final Notice 2013: JPMorgan Chase Bank, N.A. [pdf]

     Final notices Published: 19/09/2013 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 2, PRIN 3, PRIN 5, and PRIN 11 related to wholesale conduct, market protection, and failing to be open and co-operative in the investment banks sector. We imposed a fine.

625. Final Notice 2017: Amjad Motors Limited [pdf]

     Final notices Published: 13/03/2017
     This final notice refers to breaches of COND and Principle 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

626. Final Notice 2015: Kenneth George Carver [pdf]

     Final notices Published: 30/03/2015 Last modified: 30/03/2015
     This final notice refers to breaches of MAR related to market abuse in the issuer sector. We imposed a fine.

627. Final notice 2016: Terence Andrew Joint [pdf]

     Final notices Published: 09/05/2016 Last modified: 09/05/2016
     This final notice refers to breaches of APER 6, APER 7, FIT and CASS related to a lack of fitness/propriety and client money/assets misconduct in the general insurance and protection sector. We imposed a fine and prohibition.

628. Final Notice 2017: Keep Sheffield Warm [pdf]

     Final notices Published: 06/10/2017
     This final notice refers to breaches of PRIN 11 related to failing to be

629. Final Notice 2018: RSI Bank Plc [pdf]

     Final notices Published: 20/02/2018
     This final notice refers to breaches of COND related to Threshold conditions in the consumer credit sector. We imposed a refusal.

630. Final Notice 2017: GM Contracts Limited [pdf]

     Final notices Published: 27/02/2017
     This final notice refers to breaches of PRIN 11 and COND related to failing to be open and co-operative in the consumer credit sector. We imposed a refusal.