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Showing 491 to 500 of 1209 search results for final notice refers to breaches of COND related.

491. 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.

492. 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.

493. Final Notice 2015: Muhammad Ashraf [pdf]

     Final notices Published: 17/08/2015 Last modified: 17/08/2015
     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.

494. Final Notice 2022: Citigroup Global Markets Limited [pdf]

     Final notices Published: 19/08/2022
     This Final Notice refers to breaches of Principle 2 of the FCA’s Principles for Businesses and Article 16(2) of the Market Abuse Regulation related to market protection and wholesale conduct in the Investment Banking and Trading Firm sector. We

495. 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.

496. FCA Final Notice 2014: Nick Bowyer [pdf]

     Final notices Published: 05/11/2014 Last modified: 07/04/2015
     This final notice refers to breaches of APER 6 related to unfair treatment of customers, mis-selling, remuneration, and culture/governance in the payment services sector. We imposed a fine and a prohibition.

497. 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.

498. Final Notice 2017: David Samuel Watters [pdf]

     Final notices Published: 14/07/2017
     This final notice refers to breaches of APER 6 related to a lack of competence in the pensions sector.

499. Final Notice 2015: Kenneth George Carver [pdf]

     Final notices Published: 30/03/2015 Last modified: 30/03/2015
     This final notice refers to breaches of MAR related to market abuse in the issuer sector. We imposed a fine.

500. 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.