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Showing 251 to 260 of 1097 search results for final notice refers to breaches of APER 2 related.
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Final notice 2016: W H Ireland Limited [pdf]
This final notice refers to breaches of PRIN 3 and SYSC related to market protection, culture/governance and conflicts of interest in the wealth management and private banking sector. We imposed a fine and restriction. -
Final notice 2016: Nasser Yusuf trading as Advance Money Management [pdf]
This final notice refers to breaches of COND related to Threshold conditions in the consumer credit sector. We imposed a refusal. -
FCA Final Notice 2014: Royal Bank of Scotland plc and National Westminster Bank Plc [pdf]
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. -
FCA Final Notice 2013: Omar Sohail Zaman (trading as Worldwide Money Exchange) [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. -
Final Notice 2015: Rogerio Pinto [pdf]
This final notice refers to breaches of FIT related to lack of fitness and propriety in the trading firm sector. We imposed a refusal. -
Final Notice 2017: Peyman Pakyari [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 2017: William Bartle [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 2017: Aaron Cawthorn [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. -
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. -
Final Notice 2017: Stephen Oliver [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.