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Showing 1161 to 1170 of 1719 search results for final notice refers to breaches of COND.

1161. FCA Final Notice 2013: Ingram Graham Limited (in Creditors’ Voluntary Liquidation) [pdf]

      Final notices Published: 21/08/2013 Last modified: 07/04/2015
      This final notice refers to breaches of PRIN 11 related to threshold conditions in the investment advisors & platforms sector. We imposed a cancellation.

1162. Final Notice 2017: Christopher Niehaus [pdf]

      Final notices Published: 30/03/2017
      This final notice refers to breaches of APER 2 related to wholesale conduct in the investment banking sector. We imposed a fine.

1163. FCA Final Notice 2014: Peter Thomas Carron [pdf]

      Final notices Published: 16/09/2014 Last modified: 07/04/2015
      This final notice refers to breaches of APER 1 related to unfair treatment of customers, and lack of fitness/propriety in the investment adviser sector. We imposed a fine and a prohibition.

1164. Final Notice 2018: Keith Buckfield [pdf]

      Final notices Published: 08/05/2018
      This final notice (Keith Buckfield) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

1165. Final Notice 2015: Sam Thomas Kenny [pdf]

      Final notices Published: 13/03/2015 Last modified: 13/03/2015
      This final notice refers to breaches of APER 1 and APER 7 related to unfair treatment of customers, mis-selling, lack of fitness/propriety in the investment adviser sector. We imposed a fine and a prohibition.

1166. Final Notice 2015: Benbron Solutions Limited [pdf]

      Final notices Published: 12/10/2015 Last modified: 12/10/2015
      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.

1167. Final notice 2016: Cult Racing Limited [pdf]

      Final notices Published: 30/06/2016 Last modified: 30/06/2016
      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.

1168. Final Notice 2015: Merrill Lynch International [pdf]

      Final notices Published: 22/04/2015 Last modified: 22/04/2015
      This final notice refers to breaches of SUP related to transaction reporting in the investment bank sector. We imposed a fine.

1169. Final Notice 2018: Leonard Bradley [pdf]

      Final notices Published: 01/03/2018
      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.

1170. Final notice 2015: Oaklands Courier Limited [pdf]

      Final notices Published: 26/11/2015 Last modified: 26/11/2015
      The final notice refers to breaches of PSR related to failing to be open and co-operative in the payment services sector. We imposed a cancellation.