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Showing 1131 to 1140 of 1719 search results for final notice refers to breaches of COND.

1131. Final Notice 2015: Barclays Bank PLC - November 2015 [pdf]

      Final notices Published: 26/11/2015 Last modified: 26/11/2015
      This final notice refers to breaches of PRIN 2 related to financial crime failings. We imposed a fine.

1132. Final Notice 2019: Lynden Gerard Scourfield [pdf]

      Final notices Published: 21/06/2019
      This final notice refers to breaches of FIT related to a lack of fitness/propriety in the retail banking sector. We imposed a prohibition.

1133. Final Notice 2015: Alberto Micalizzi [pdf]

      Final notices Published: 19/03/2015 Last modified: 19/03/2015
      This final notice refers to breaches of APER 1 related to client money/assets, and lack of fitness/propriety in the asset management sector. We imposed a fine and a prohibition.

1134. Final Notice 2016: Tariq Carrimjee [pdf]

      Final notices Published: 28/11/2016
      This final notice refers to breaches of APER 2 and FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a fine and prohibition.

1135. Final Notice 2021: Crosfill & Archer Claims Limited [pdf]

      Final notices Published: 28/06/2021
      This Final Notice refers to breaches of breach of the Conduct of Authorised Persons Rules 2014 (“CAPR”) related to unfair treatment of customers in the claims management sector. We imposed a financial penalty.

1136. Final Notice 2018: David James Carter Mullins [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.

1137. Final Notice 2017: Steven Paul Billing [pdf]

      Final notices Published: 28/02/2017
      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.

1138. Final Notice 2017: Stuart Watkins Cars [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.

1139. Final Notice 2022: Andrew Mark Thomas Page [pdf]

      Final notices Published: 17/05/2022
      This Final Notice (Andrew Mark Thomas Page) refers to breaches of APER 1 and FIT related to a lack of fitness/propriety, mis-selling and failing to be open and co-operative in the investment adviser and pensions sector. We imposed a prohibition and

1140. FCA Final Notice 2013: Swift Masters Limited [pdf]

      Final notices Published: 04/11/2013 Last modified: 07/04/2015
      This final notice refers to breaches of PSR related to failing to be open and co-operative in the payment systems sector. We imposed a cancellation.