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Showing 491 to 500 of 1097 search results for final notice refers to breaches of APER 2 related.

  1. Final Notice 2017: Charles Cook [pdf]

    Final notices Published: 09/10/2017
    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.

  2. Final Notice 2017: Motorhaus Ltd [pdf]

    Final notices Published: 06/11/2017 Last modified: 06/11/2017
    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.

  3. Final Notice 2020: John Richards [pdf]

    Final notices Published: 12/02/2020
    This final notice (John Richards) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  4. Final Notice 2015: Nineveh Advisory Limited [pdf]

    Final notices Published: 13/01/2015 Last modified: 13/01/2015
    This final notice refers to breaches of Principle 11 related to threshold conditions in the investment adviser sector. We imposed a cancellation.

  5. Final notice 2016: Peter Charles Bottomley [pdf]

    Final notices Published: 08/03/2016 Last modified: 08/03/2016
    This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

  6. Final Notice: Excel Leasing Limited [pdf]

    Final notices Published: 21/10/2016
    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. FCA Final Notice 2014: Barclays Bank PLC [pdf]

    Final notices Published: 23/05/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 3 and PRIN 8 related to benchmarks and conflicts of interest in the investment banks sector. We imposed a fine.

  8. Final Notice 2018: Edward John Booth [pdf]

    Final notices Published: 25/07/2018
    This final notice refers to breaches of FIT related to lack of fitness/propriety and unfair treatment of customers in the consumer credit sector. We imposed a prohibition.

  9. Final Notice 2018: Mark Robert Kennedy [pdf]

    Final notices Published: 25/07/2018
    This final notice refers to breaches of FIT related to lack of fitness/propriety and unfair treatment of customers in the consumer credit sector. We imposed a prohibition.

  10. Final Notice 2017: Kenneth Wills [pdf]

    Final notices Published: 11/04/2017
    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.
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