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Showing 511 to 520 of 1133 search results for final notice refers to breaches of FIT related.

  1. Final notice 2016: Dual Mortgage Brokers [pdf]

    Final notices Published: 29/06/2016 Last modified: 29/06/2016
    This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative and threshold conditions in the general insurance and protection sector. We imposed a cancellation.

  2. Final Notice 2017: Deutsche Bank [pdf]

    Final notices Published: 31/01/2017
    This final notice refers to breaches of PRIN 3 and SYSC related to culture/governance and financial crime in the investment bank sector. We imposed a fine.

  3. Final notice 2016: Trevor John Fry [pdf]

    Final notices Published: 30/06/2016 Last modified: 30/06/2016
    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.

  4. Final Notice 2018: Christian Bittar [pdf]

    Final notices Published: 14/09/2018
    This final notice refers to knowing concern in breaches of Principle 5 related to benchmark submissions. We imposed a prohibition.

  5. Final Notice 2022: Julius Baer International Limited [pdf]

    Final notices Published: 30/11/2022
    This Final Notice refers to breaches of PRIN 1, PRIN 3 and PRIN 11 related to failing to act with integrity, governance and failing to be open and co-operative in the in the Wealth Management and Private Banking sector. We imposed a financial penalty

  6. FCA Final Notice 2013: John Patrick Morris [pdf]

    Final notices Published: 15/08/2013 Last modified: 07/04/2015
    This final notice refers to breaches of TC related to threshold conditions in the general insurance and protection sector. We imposed a OIVOP and cancellation.

  7. Final Notice 2017: Terry Hodges [pdf]

    Final notices Published: 11/10/2017
    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.

  8. Final Notice 2018: Polmaise Community Credit Union Limited [pdf]

    Final notices Published: 29/03/2018
    This final notice refers to breaches of Principle 11 related to failing to be open and co-operative in the credit union sector. We imposed a cancellation.

  9. Final Notice 2017: MGV Motors (Gintare Varinauskiene trading as) [pdf]

    Final notices Published: 24/05/2017
    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.

  10. Final Notice 2019: Alonso Lopez [pdf]

    Final notices Published: 12/12/2019
    This final notice (Alonso Lopez) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.
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