Search results
Showing 621 to 630 of 1097 search results for final notice refers to breaches of APER 2 related.
-
Final Notice 2024: Citigroup Global Markets Limited [pdf]
This Final Notice refers to breaches of PRIN 2 and 3, and MAR 7A 3.2 related to wholesale conduct in the investment bank sector. We imposed a fine. -
Final Notice 2016: Justin Pollington-Woods [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 2020: Gary John Gregson [pdf]
This Final Notice (Gary John Gregson) refers to breaches of FIT related to the Threshold Conditions in the Consumer Credit. We imposed a prohibition. -
Final Notice 2020: NJW Car Sales [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: Marcel Rochester [pdf]
This final notice (Marcel Rochester) refers to breaches of Principle 11 and SUP related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation. -
Final Notice 2017: Grange Automotive (Simon Cheung trading as) [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 2020: HMS Cars Ltd [pdf]
This final notice (HMS Cars Ltd) 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 2015: Simon Mark Silva-Peake [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety, client money/assets and unfair treatment of customers in the investment adviser sector. We imposed a prohibition. -
Final Notice 2015: Noraminvest UK Limited [pdf]
This final notice refers to breaches of principle 11 and TC related to threshold conditions and failing to be open and co-operative in the investment advisor sector. We imposed a cancellation. -
Final Notice 2018: Guillaume Adolph [pdf]
This final notice refers to breaches of PRIN 5 and FIT related to benchmarks, lack of fitness/propriety and wholesale conduct in the investment bank sector. We imposed a fine and a prohibition.