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Showing 321 to 330 of 2139 search results for final notice refers to breaches.
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Final Notice 2017: Adam Lancelot [pdf]
This final notice refers to breaches of FIT related to lack of fitness/propriety in the Investment Adviser sector. We imposed a prohibition. -
FCA Final Notice 2014: Mark Ian Warner trading as Advanced Financial Management [pdf]
This final notice refers to breaches of PRIN 11 related to threshold conditions in the investment advisor sector. We imposed an OIVOP and a cancellation. -
Final Notice 2015: Kweku Mawuli Adoboli [pdf]
This final notice refers to breaches of FIT related to lack of fitness/propriety in the investment bank sector. We imposed a prohibition. -
Final notice 2016: Super Fast Loan Limited [pdf]
This final notice refers to breaches of COND and CONC related to failing to be open and co-operative in the consumer credit sector. We imposed a refusal. -
Final Notice 2016: Adam Philip Hawkins [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition. -
FCA Final Notice 2014: Citibank N.A. [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. -
Final notice 2016: Good Motors Limited [pdf]
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. -
Final Notice 2015: Michael John Allin [pdf]
This final notice refers to breaches of APER 4 related to failure to be open and cooperative with the Authority. We imposed a fine. -
Final Notice 2018: Robert Hyde [pdf]
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. -
Final Notice 2018: Kelly Lewis [pdf]
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.