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Showing 941 to 950 of 1719 search results for final notice refers to breaches of COND.

941. FCA Final Notice 2013: Jeffrey Simon Bennett [pdf]

     Final notices Published: 12/07/2013 Last modified: 19/05/2015
     This final notice refers to breaches of APER 6 related to misselling and lack of fitness/propriety in the investment advisers and platforms sector. We imposed a fine, a prohibition order and withdrawal of approval.

942. Final Notice 2020: Frank Cochran [pdf]

     Final notices Published: 05/11/2020
     This Final Notice (Frank Cochran) refers to breaches of FIT by a financial adviser. We imposed a prohibition.

943. Final Notice 2020: TFS-ICAP Limited [pdf]

     Final notices Published: 23/11/2020 Last modified: 23/11/2020
     This Final Notice refers to breaches of PRIN 2, PRIN 3 and PRIN 5 related to wholesale conduct in the wholesale broker sector. We imposed a financial penalty.

944. Final Notice 2024: Inspirational Financial Management Ltd (in administration) [pdf]

     Final notices Published: 11/03/2024
     This Final Notice (Inspirational Financial Management Ltd (in administration)) refers to breaches of Principles 3, 6 and 9 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We imposed a financial

945. Final Notice 2015: Aviva Investors Global Services Limited [pdf]

     Final notices Published: 24/02/2015 Last modified: 24/02/2015
     This final notice refers to breaches of PRIN 3, PRIN 8 and COBS related to unfair treatment of customers, conflicts of interest and culture / governance in the Asset management sector. We imposed a fine.

946. Final notice 2016: Crimson Car Sales [pdf]

     Final notices Published: 14/07/2016 Last modified: 14/07/2016
     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.

947. Final Notice 2019: Mark Dobson [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.

948. Final Notice 2019: UBS AG [pdf]

     Final notices Published: 19/03/2019
     This final notice (UBS AG) refers to breaches of SUP 17, SUP 15 and PRIN 3 related to transaction reporting failures in the investment bank sector. We imposed a fine.

949. Final Notice 2018: Alan Taylor [pdf]

     Final notices Published: 14/11/2018
     This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

950. FCA Final Notice 2014: Anthony Verrier [pdf]

     Final notices Published: 29/01/2014 Last modified: 07/04/2015
     This final notice refers to breaches of FIT related to lack of fitness and propritey in the trading firms sector. We imposed a prohibition.