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Showing 71 to 80 of 304 search results for Final Notice refers to breaches of the Conduct of Authorised.
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Final Notice 2017: Christine Whitehurst [pdf]
This final notice refers to breaches of FIT related to client money/assets and lack of fitness/propriety in the consumer credit sector. We imposed a prohibition. Final Notice: Christine Whitehurst Conduct: Client money/assets; Lack of -
Final Notice 2023: Christopher Vincent Summers [pdf]
This Final Notice (Christopher Vincent Summers) refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition. -
FCA Final Notice 2014: Citibank N.A. [pdf]
This final notice refers to breaches of PRIN 3 related to wholesale conduct and benchmarks in the investment bank sector. We imposed a fine. -
Final notice 2016: Peter Charles Johnson [pdf]
This final notice refers to breaches of FIT related to benchmarks, a lack of fitness/propriety and wholesale conduct in the retail bank sector. We imposed a prohibition. -
Final Notice 2023: Al Rayan Bank PLC [pdf]
This Final Notice refers to breaches of Principle 3 related to Financial Crime in the Retail Bank sector. We imposed a Financial Penalty. -
Final Notice 2022: Grahams Cars [pdf]
This final notice (Grahams Cars) refers to a failure to satisfy the Effective Supervision Threshold Condition (COND) due to the Authority having no means by which it can communicate with the firm. Therefore, we imposed a cancellation. -
Final Notice 2022: Barclays Bank plc [pdf]
This Final Notice (Barlclays Bank plc) refers to breaches of PRIN 2 related to financial crime in the corporate banking sector. We imposed a financial penalty. -
Final Notice 2017: Christopher Niehaus [pdf]
This final notice refers to breaches of APER 2 related to wholesale conduct in the investment banking sector. We imposed a fine. -
Final Notice 2024: Arthur Jonathan Cobill [pdf]
This Final Notice (Arthur Jonathan Cobill) refers to a breach of APER Statement of Principle 2 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We imposed a partial prohibition. It has been -
Final Notice 2015: Rogerio Pinto [pdf]
This final notice refers to breaches of FIT related to lack of fitness and propriety in the trading firm sector. We imposed a refusal.