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Showing 11 to 20 of 1738 search results for Final Notice refers to breaches.

  1. Final Notice 2015: Asia Resource Minerals plc (formerly Bumi plc) [pdf]

    Final notices Published: 17/06/2015 Last modified: 17/06/2015
    This final notice refers to breaches of LR and DTR related to listing rules breaches in the issuer sector. We imposed a fine.
  2. Final Notice 2017: Adrian Whitehurst [pdf]

    Final notices Published: 23/10/2017
    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: Adrian Whitehurst Conduct: Client money/assets; Lack of fitness/propriety
  3. Final Notice 2017: Christine Whitehurst [pdf]

    Final notices Published: 23/10/2017
    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
  4. Final Notice 2021: Omar Hussein [pdf]

    Final notices Published: 15/10/2021
    This Final Notice refers to breaches of APER 1 and 7 related to failing to act with integrity and failing to demonstrate that suitable advice was given in the pensions sector. We imposed a financial penalty, withdrawal and prohibition.
  5. FCA Final Notice 2014: Deutsche Bank AG (“Deutsche”) [pdf]

    Final notices Published: 28/08/2014 Last modified: 07/04/2015
    This final notice refers to breaches of SUP 17 related to transaction reporting in the investment bank sector. We imposed a fine.
  6. Final Notice 2016: Marlborough Isleworth Motors Limited

    Final notices Published: 21/11/2016
    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.
  7. Final Notice 2015: Reckitt Benckiser Group Plc [pdf]

    Final notices Published: 20/01/2015 Last modified: 20/01/2015
    This final notice refers to breaches of LR and DTR related to listing rules breaches in the issuer sector. We imposed a financial penalty.
  8. Final Notice 2018: Metlife Ltd [pdf]

    Final notices Published: 14/06/2018
    This final notice refers to breaches of Principle 4, COND and MIPRU related to failing to in the general insurance and protection sector. We imposed a cancellation.
  9. Final Notice 2015: Leadgen (UK) Limited [pdf]

    Final notices Published: 26/01/2015 Last modified: 26/01/2015
    This final notice refers to breaches of Principle 11 related to threshold conditions breaches in the consumer credit sector. We imposed a cancellation.
  10. Final Notice 2019: Andrew Morris Cars Ltd [pdf]

    Final notices Published: 25/07/2019
    This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in