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Showing 11 to 20 of 2471 search results for This Final Notice refers.

  1. Final notice 2016: Peter Charles Johnson [pdf]

    Final notices Published: 31/08/2016 Last modified: 31/08/2016
    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.
  2. Final Notice 2017: Gokcek Limited [pdf]

    Final notices Published: 02/05/2017
    This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.
  3. Final Notice 2017: College Motors [pdf]

    Final notices Published: 03/08/2017
    This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.
  4. FCA Final Notice 2013: Martin Peter Gwynn [pdf]

    Final notices Published: 17/12/2013 Last modified: 08/06/2020
    This final notice refers to breaches of FIT related to
  5. Final Notice 2016: Robin Cawley [pdf]

    Final notices Published: 26/10/2016
    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.
  6. Final Notice 2017: Andrew Quinn [pdf]

    Final notices Published: 14/06/2017
    This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.
  7. FCA Final Notice 2014: Pritchard Stockbrokers Limited (In Special Administration) [pdf]

    Final notices Published: 09/10/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 1, PRIN 2, PRIN 10 related to client money/assets in the asset management sector. We imposed a public censure.
  8. Final Notice: Kathryn Clark [pdf]

    Final notices Published: 25/10/2016
    This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition and withdrawal.
  9. Final Notice 2017: Steve Beaty [pdf]

    Final notices Published: 10/05/2017
    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 2017: Yasmin Khan [pdf]

    Final notices Published: 20/02/2017
    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.