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Showing 141 to 150 of 2139 search results for final notice refers to breaches.
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FCA Final Notice 2014: The Royal Bank of Scotland Plc [pdf]
This final notice refers to breaches of PRIN 3 related to wholesale conduct and benchmarks in the investment bank sector. We imposed a fine. -
FCA Final Notice 2013: Quakle Limited [pdf]
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. -
FCA Final Notice 2014: State Street [pdf]
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. -
Final notice 2016: Aaron Cooper [pdf]
This final notice refers to breaches of COND and PRIN 11 related to Threshold Conditions, Failing to be open and co-operative in the consumer credit sector. We imposed a refusal. -
FCA Final Notice 2013: Jeffrey Simon Bennett [pdf]
This final notice refers to breaches of APER 6 related to misselling and lack of fitness/propriety in the investment advisers and platforms sector. We imposed a fine, a prohibition order and withdrawal of approval. -
Final Notice 2015: Abid Hussain [pdf]
This final notice refers to breaches of PSR related to Payment Services Regulations and failing to be open and co-operative in the payment services sector. We imposed a cancellation. -
FCA Final Notice 2014: Muhammad Irfan [pdf]
This final notice refers to breaches of PSR related to failing to be open and co-operative in the payment services sector. We imposed a cancellation. -
FCA Final Notice 2013: Fadugu Limited [pdf]
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. -
FCA Final Notice 2014: Habibur Rahman [pdf]
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. -
FCA Final Notice 2014: Mohammed Dudu Miah [pdf]
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.