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Showing 431 to 440 of 1133 search results for final notice refers to breaches of FIT related.
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Final notice 2016: Crimson Car Sales [pdf]
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. -
FCA Final Notice 2014: David Gillespie [pdf]
This final notice refers to breaches of APER 1 and APER 6 related to client money/assets in the asset management sector. We imposed a fine, withdrawal and a prohibition. -
Final notice 2016: Mark Andrew Walker [pdf]
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. -
Final Notice 2017: David Samuel Watters [pdf]
This final notice refers to breaches of APER 6 related to a lack of competence in the pensions sector. -
Final Notice 2017: R Taggar [pdf]
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. -
Final Notice: FC Group Limited [pdf]
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. -
Final Notice 2015: Kenneth George Carver [pdf]
This final notice refers to breaches of MAR related to market abuse in the issuer sector. We imposed a fine. -
FCA Final Notice 2014: World Link UK Limited [pdf]
This final notice refers to breaches of PSR related to failing to be open and co-operative in the payment systems sector. We imposed a cancellation. -
Final Notice 2019: UBS AG [pdf]
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. -
Final Notice 2022: Citigroup Global Markets Limited [pdf]
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