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Showing 1091 to 1100 of 1719 search results for final notice refers to breaches of COND.

1091. Final Notice 2018: Jonathan Mathew [pdf]

      Final notices Published: 02/11/2018
      This final notice refers to breaches of FIT related to benchmarks, a lack of fitness/propriety and wholesale conduct in the retail bank sector. We imposed a prohibition.

1092. Final Notice 2015: Badruzzaman Choudhury [pdf]

      Final notices Published: 17/08/2015 Last modified: 17/08/2015
      This final notice refers to breaches of PSR, related to payment services regulations and failing to be open and co-operative in the payment services sector. We imposed a cancellation.

1093. 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.

1094. Final notice 2016: CT Capital Limited [pdf]

      Final notices Published: 01/06/2016 Last modified: 01/06/2016
      This final notice refers to breaches of PRIN 3 and PRIN 6 related to complaints-handling and the unfair treatment of customers in the general insurance and protection sector. We imposed a fine.

1095. Final Notice 2017: Claudia Vida [pdf]

      Final notices Published: 30/08/2017
      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.

1096. 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.

1097. FCA Final Notice 2013: Mark Richard Faulkner [pdf]

      Final notices Published: 29/07/2013 Last modified: 07/04/2015
      This final notice refers to breaches of TC related to threshold conditions in the general insurance and protection sector. We imposed a OIVOP and a cancellation.

1098. FCA Final Notice 2013: JLT Specialty Limited [pdf]

      Final notices Published: 19/12/2013 Last modified: 07/04/2015
      This final notice refers to breaches of PRIN 3 related to financial crime in the general insurance and protection sector. We imposed a fine.

1099. Final Notice 2017: Jonathan David Lee [pdf]

      Final notices Published: 14/03/2017
      This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

1100. Final Notice 2017: Lyndon Alun Davies [pdf]

      Final notices Published: 03/03/2017
      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.