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Showing 481 to 490 of 1209 search results for final notice refers to breaches of COND related.

481. FCA Final Notice 2013: Porta Verde Financial Services Limited [pdf]

     Final notices Published: 24/10/2013 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 3, PRIN 6 and PRIN 7 related to appointed representatives, and unfair treatment of customers in the general insurance and protection sector. We imposed a fine.

482. FCA Final Notice 2013: Christopher Willford [pdf]

     Final notices Published: 12/12/2013 Last modified: 07/04/2015
     This final notice refers to breaches of APER 6 related to failing to act on information appropriately in the retail banks sector. We imposed a fine.

483. Final Notice 2017: Dale (83) Limited [pdf]

     Final notices Published: 02/05/2017
     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.

484. FCA Final Notice 2014: Douglas Carroll trading as City and Chartered Mortgage Services [pdf]

     Final notices Published: 28/08/2014 Last modified: 07/04/2015
     This final notice refers to breaches of TC and SUP 16 related to transaction reporting in the general insurance and protection sector. We imposed a withdrawal.

485. 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.

486. 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.

487. Final Notice 2017: Lukhvir Thind [pdf]

     Final notices Published: 07/04/2017
     This final notice refers to breaches of s.118(7) Financial Services and Markets Act 2000 and FIT related to market abuse, a lack of fitness/propriety and client money/assets in the trading firm sector. We imposed a fine and prohibition.

488. Final Notice 2015: Unitransfer Limited [pdf]

     Final notices Published: 11/08/2015 Last modified: 11/08/2015
     This final notice refers to breaches of PSR, related to payment service regulations and failing to be open and co-operative in the payment services sector. We imposed a cancellation.

489. 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.

490. Final Notice 2022: Metro Bank plc [pdf]

     Final notices Published: 12/12/2022
     The Final Notice (Metro Bank plc) refers to breaches of Listing Rules 1.3.3R related to misleading information not to be published in the Retail Bank sector. We imposed a financial penalty.