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Showing 951 to 960 of 1719 search results for final notice refers to breaches of COND.

951. FCA Final Notice 2014: Ian Charles Hannam [pdf]

     Final notices Published: 22/07/2014 Last modified: 07/04/2015
     This final notice refers to breaches of MAR related to market abuse in the investment banks sector. We imposed a fine.

952. Final Notice 2015: Paivi Grigg [pdf]

     Final notices Published: 11/12/2015 Last modified: 17/12/2015
     This final notice refers to breaches of APER 6 related to appointed representatives, culture/governance and unfair treatment of customers in the investment adviser sector . We imposed a fine.

953. Final notice 2016: Mark Andrew Walker [pdf]

     Final notices Published: 13/07/2016 Last modified: 13/07/2016
     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.

954. Final Notice 2019: Potters’ Music Shop (Croydon) Limited [pdf]

     Final notices Published: 25/07/2019
     This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in

955. Final Notice 2023: Mr Paul Steel [pdf]

     Final notices Published: 04/07/2023
     This Final Notice refers to breaches of APER 1, 2 and 4, and COCON 1 and 3 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We imposed a financial penalty and a prohibition.

956. Final Notice 2017: R Taggar [pdf]

     Final notices Published: 18/08/2017
     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.

957. Final Notice 2015: United Forex Limited [pdf]

     Final notices Published: 05/08/2015 Last modified: 05/08/2015
     This 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.

958. Final notice 2016: Gethin Car Sales [pdf]

     Final notices Published: 14/06/2016 Last modified: 15/06/2016
     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

959. Final Notice 2020: Mark Horsey [pdf]

     Final notices Published: 05/11/2020
     This Final Notice (Mark Horsey) refers to breaches of FIT by a financial adviser. We imposed a prohibition. File updated to include autotag accessibility requirement.

960. FCA Final Notice 2014: City & Provincial and Mr Zaffar Hassan Tanweer [pdf]

     Final notices Published: 13/03/2014 Last modified: 07/04/2015
     This final notice refers to breaches of APER 1 and FIT related to mortgage fraud in the mortgages and consumer credit sector. We imposed a prohibition (full), fine, withdrawal and cancellation.