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Showing 951 to 960 of 2139 search results for final notice refers to breaches.
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Final Notice 2024: Victoria Snoddy [pdf]
This Final Notice (Victoria Snoddy) refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative (PRIN 11) in relation to a new firm authorisation application. We have refused the Application. -
Final Notice 2020: RL Cars [pdf]
This final notice (RL Cars) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation. -
Final Notice 2022: E.A. McCarroll [pdf]
This Final Notice (E.A. McCarroll) 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. -
Final Notice 2023: Guaranty Trust Bank (UK) Limited [pdf]
This Final Notice (Guaranty Trust Bank (UK) Limited) refers to breaches of PRIN 3 related to the risk of financial crime in the wholesale banking sector. We imposed a financial penalty. -
Final Notice 2019: UBS AG [pdf]
This final notice (UBS AG) refers to breaches of SUP 17, SUP 15 and PRIN 3 related to transaction reporting failures in the investment bank sector. We imposed a fine. -
Final Notice 2020: Frank Cochran [pdf]
This Final Notice (Frank Cochran) refers to breaches of FIT by a financial adviser. We imposed a prohibition. -
Final Notice 2020: Mark Horsey [pdf]
This Final Notice (Mark Horsey) refers to breaches of FIT by a financial adviser. We imposed a prohibition. File updated to include autotag accessibility requirement. -
Final Notice 2022: MHM Plant Group Limited [pdf]
This final notice (MHM Plant Group Limited) refers to a failure to satisfy threshold conditions (COND) in the credit broking sector. We refused the firm’s application for authorisation. -
Final Notice 2019: Eric Ka Chi Siu [pdf]
This final notice (Eric Ka Chi Siu) refers to breaches of the Listing Principles and Disclosure Rules and Transparency Rules in the issuer sector. We imposed a financial penalty. -
Final Notice 2018: Andrew Hind [pdf]
This final notice (Andrew Hind) refers to breaches of FIT related to a lack of fitness/propriety in the asset management sector. We imposed a prohibition.