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Showing 231 to 240 of 1097 search results for final notice refers to breaches of APER 2 related.

  1. FCA Final Notice 2014: HSBC Bank 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.

  2. 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.

  3. 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.

  4. 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.

  5. Final Notice 2017: James Pollock [pdf]

    Final notices Published: 20/02/2017
    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.

  6. Final Notice 2017: Glen Eagleson [pdf]

    Final notices Published: 21/02/2017
    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.

  7. Final Notice 2017: Sujeel Ranjha [pdf]

    Final notices Published: 09/01/2017
    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.

  8. Final Notice 2017: College Motors [pdf]

    Final notices Published: 03/08/2017
    This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

  9. Final Notice 2017: Philip Gee [pdf]

    Final notices Published: 29/03/2017
    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.

  10. Final Notice 2017: Andre Fridmann [pdf]

    Final notices Published: 02/05/2017
    This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.
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