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Showing 41 to 50 of 1263 search results for This final notice refers to breaches of s.118.

41. 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

42. 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.

43. Final Notice 2024: Fast Remit Limited [pdf]

    Final notices Published: 21/03/2024
    This final notice refers to breaches of PSR related to failing to be open and co-operative and payment services regulations in the payment services sector. We imposed a cancellation.

44. Final Notice 2019: Wedgwood Vehicle Solutions Limited [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

45. 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

46. 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.

47. 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

48. 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.

49. Final Notice 2022: Andrew Roy Brooke [pdf]

    Final notices Published: 06/04/2022
    This Final Notice (Andrew Roy Brooke) refers to breaches of FIT. We imposed a prohibition.

50. Final Notice 2017: Eastern Union Remittance and Exchange Limited [pdf]

    Final notices Published: 30/08/2017
    This final notice refers to breaches of Principle 11 related to failing to be open and