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Showing 121 to 130 of 2139 search results for final notice refers to breaches.

121. Final Notice 2017: Michael Fern [pdf]

     Final notices Published: 02/02/2017
     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.

122. Final Notice 2017: Alan Swift [pdf]

     Final notices Published: 03/03/2017
     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.

123. Final Notice 2024: Robert Harriss [pdf]

     Final notices Published: 24/05/2024
     This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the credit broker sector. We imposed a prohibition.

124. FCA Final Notice 2014: Royal Bank of Scotland plc and National Westminster Bank Plc [pdf]

     Final notices Published: 27/08/2014 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 2, PRIN 9, and MCOB related to mis-selling in the retail bank sector. We imposed a fine.

125. FCA Final Notice 2014: The Royal Bank of Scotland Plc [pdf]

     Final notices Published: 12/11/2014 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 3 related to wholesale conduct and benchmarks in the investment bank sector. We imposed a fine.

126. Final Notice 2015: Rogerio Pinto [pdf]

     Final notices Published: 12/02/2015 Last modified: 02/04/2015
     This final notice refers to breaches of FIT related to lack of fitness and propriety in the trading firm sector. We imposed a refusal.

127. FCA Final Notice 2014: State Street [pdf]

     Final notices Published: 31/01/2014 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 6 and PRIN 7 related to wholesale conduct, unfair treatment of customers in the investment banks sector. We imposed a fine.

128. FCA Final Notice 2014: Besso Limited [pdf]

     Final notices Published: 19/03/2014 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 3 related to anti-Bribery and corruption in the general insurance and protection sector. We imposed a fine.

129. Final Notice 2015: Magnus Michael Peterson [pdf]

     Final notices Published: 26/10/2015 Last modified: 26/10/2015
     This Final Notice refers to breaches of FIT related to lack of fitness/propriety in the investment advisor sector. We imposed a prohibition.

130. Final notice 2016: Premier Dental Limited [pdf]

     Final notices Published: 03/03/2016 Last modified: 03/03/2016
     This final notice refers to breaches of Principle 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.