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Showing 811 to 820 of 1097 search results for final notice refers to breaches of APER 2 related.

  1. Final Notice 2019: Neil Williams-Denton [pdf]

    Final notices Published: 08/08/2019
    This final notice refers to breaches of FIT related to threshold conditions, financial crime and lack of fitness and propriety in the Wealth Management and Investment Adviser sector. We imposed a prohibition.

  2. Final Notice 2018: Michael George Hutley [pdf]

    Final notices Published: 14/06/2018
    This final notice 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.

  3. Final Notice 2015: Arch Financial Products LLP [pdf]

    Final notices Published: 31/03/2015 Last modified: 31/03/2015
    This final notice refers to breaches of PRIN 1, PRIN 3, PRIN 8, SYSC and COB related to conflicts of interests in the investment advisor sector. We imposed a public censure.

  4. Final Notice 2017: Notion Capital Managers LLP [pdf]

    Final notices Published: 20/01/2017
    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.

  5. Final Notice 2017: D H & M Edwards [pdf]

    Final notices Published: 10/05/2017
    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. FCA Final Notice 2014: Catalyst Fund Management Limited [pdf]

    Final notices Published: 08/05/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 11 related to threshold conditions in the investment advisor sector. We imposed a cancellation.

  7. Final Notice 2015: Deutsche Bank AG [pdf]

    Final notices Published: 23/04/2015 Last modified: 23/04/2015
    This final notice refers to breaches of PRIN 5, PRIN 3 and PRIN 11 related to wholesale conduct, benchmarks, failing to be open and co-operative and culture/governance in the investment bank sector. We imposed a fine.

  8. Final Notice 2023: Amigo Loans Ltd [pdf]

    Final notices Published: 14/02/2023
    This Final Notice refers to breaches of Principle 2 (skill, care and diligence), Principle 3 (management and control) and Principle 6 (customers’ interests) related to failure to conduct adequate affordability checks in the Consumer Credit sector.

  9. FCA Final Notice 2014: Newgate Finance & Properties Limited [pdf]

    Final notices Published: 10/03/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 11 related to threshold conditions in the mortgages sector. We imposed a cancellation.

  10. Final Notice 2018: Vanquis Bank Limited [pdf]

    Final notices Published: 27/02/2018 Last modified: 28/03/2018
    This FCA final notice (Vanquis Bank Limited) refers to breaches of PRIN 6 and PRIN 7 related to unfair treatment of customers in the consumer credit sector. We imposed a fine and restitution.
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