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Showing 411 to 420 of 1097 search results for final notice refers to breaches of APER 6 related.
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FCA Final Notice 2014: Drain Claim Limited [pdf]
This final notice refers to breaches of TC related to threshold conditions in the general insurance and protection sector. We imposed a cancellation. -
Final Notice 2015: Kweku Mawuli Adoboli [pdf]
This final notice refers to breaches of FIT related to lack of fitness/propriety in the investment bank sector. We imposed a prohibition. -
Final Notice 2015: Andrew Paul Condren [pdf]
This final notice refers to breaches of FSMA related to no regulated activities for 12 months in the investment and home finance sector. We imposed a cancellation. -
FCA Final Notice 2014: Citibank N.A. [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 2016: Jonathan R Milnes [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: Motor Spot Limited [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 2023: Ray Alan Davis [pdf]
This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the General Insurance and Protection sector. We imposed a prohibition. -
Final Notice 2018: John McCullagh [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety in the consumer credit sector. We imposed a prohibition. -
Final Notice 2018: Canara Bank [pdf]
This FCA Final Notice (Canara Bank) refers to breaches of Principle 3 and SYSC related to financial crime in the retail bank sector. We imposed a fine and restriction. -
Final Notice 2018: Russell Taylor [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.