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Showing 31 to 40 of 1496 search results for This Final Notice refers to breaches of the Conduct.
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Final Notice 2022: Stephen John Tomlin [pdf]
This Final Notice (Stephen John Tomlin) refers to breaches of APER 7 and APER 6 related to the failure to ensure compliance oversight and compliance with PRIN 3 in the trading firms sector, which led to further breaches of SUP 17, SUP 15 and Article -
Final Notice 2023: Mark Anthony Jensen [pdf]
This Final Notice 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: State Street [pdf]
This final notice refers to breaches of PRIN 6 and PRIN 7 related to wholesale conduct, unfair treatment of customers in the investment banks sector. We imposed a fine. -
Final Notice 2022: Hugh Edwards [pdf]
This Final Notice (Hugh Edwards) refers to breaches of FIT. We imposed a prohibition. -
Final Notice 2015: Neil Moir trading as ‘Readymoney’ [pdf]
This final notice refers to breaches of COND and PRIN 11 related to threshold conditions, failing to be open and co-operative and lack of fitness/propriety in the consumer credit sector. We imposed a refusal. -
Final Notice 2023: David Nigel Lewis [pdf]
This Final Notice refers to breaches of Principles for Business 6 and 7 related to the provision of unsuitable pension transfer advice in the pensions sector. We imposed a partial prohibition. A payment of £26,800 is being made to the FSCS. -
Final Notice 2022: Jeanine Lewis [pdf]
This Final Notice ( Jeanine Lewis) refers to breaches of FIT. We imposed a prohibition. -
Final Notice 2020: Nicholas Anderton [pdf]
This final notice (Nicholas Anderton) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation. -
Final Notice 2015: David Caplin [pdf]
This final notice refers to breaches of APER 7 and FIT, related to wholesale conduct, benchmarks, culture/governance, lack of fitness and propriety in the trading firms sector. We imposed a fine and a prohibition. -
Final Notice 2024: William Hofstetter [pdf]
This Final Notice (William Hofstetter) refers to a breach of APER Statement of Principle 7 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We imposed a partial prohibition. It has been agreed