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Showing 151 to 160 of 1061 search results for This final notice refers to breaches of PSR related.

151. Final Notice 2022: Sir Christopher Gent [pdf]

     Final notices Published: 05/08/2022 Last modified: 12/08/2022
     This Final Notice (Sir Christopher Gent) refers to breaches of the Market Abuse Regulations related to unlawful disclosure of inside information in the issuers sector. We imposed a financial penalty

152. Final Notice 2020: John Butterfield [pdf]

     Final notices Published: 12/10/2020 Last modified: 12/10/2020
     This Final Notice (John Leonard Butterfield) refers to breaches of FIT 2.1 related to lack of fitness and propriety in the Investment Adviser sector. We imposed a prohibition.

153. Final Notice 2024: William Hofstetter [pdf]

     Final notices Published: 11/03/2024
     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

154. Final Notice 2023: Susan Mary Jones [pdf]

     Final notices Published: 27/11/2023
     This Final Notice refers to breaches of Principles for Business 2 related to the provision of unsuitable pension transfer advice in the pensions sector. We imposed a partial prohibition. A payment of £40,888 is being made to the FSCS.

155. 2024 fines

     News stories Published: 25/03/2024 Last modified: 26/03/2024
     Enforcement fines published in 2024.

156. Final Notice 2020: Jarnail Singh Basran [pdf]

     Final notices Published: 21/05/2020
     This final notice (Jarnail Singh Basran) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

157. Final Notice 2020: Kirt Blackburn [pdf]

     Final notices Published: 05/05/2020
     This final notice (Kirt Blackburn) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

158. Final Notice 2013: Michael Coscia [pdf]

     Final notices Published: 03/07/2013 Last modified: 07/04/2015
     This final notice refers to breaches of MAR related to market abuse in the trading frims sector. We imposed a fine.

159. 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

160. FCA Final Notice 2013: Mr Rahul Shah [pdf]

     Final notices Published: 13/11/2013 Last modified: 07/04/2015
     This final notice refers to breaches of MAR related to market abuse in the investment adviser sector. We imposed a fine and prohibition.