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Showing 151 to 160 of 1291 search results for This Final Notice refers to breaches of APER.

  1. Final Notice 2020: Simon Charles Oakley [pdf]

    Final notices Published: 21/09/2020 Last modified: 21/09/2020
    This Final Notice (Simon Charles Oakley) refers to breaches of FIT by a financial adviser. We imposed a prohibition.”

  2. Final notice 2016: R Sadler [pdf]

    Final notices Published: 12/05/2016 Last modified: 12/05/2016
    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.

  3. FCA Final Notice 2014: Doditel Limited [pdf]

    Final notices Published: 19/05/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PSR related to failing to be open and co-operative in the payment systems sector. We imposed a cancellation.

  4. Final Notice 2017: Keep Sheffield Warm [pdf]

    Final notices Published: 06/10/2017
    This final notice refers to breaches of PRIN 11 related to failing to be

  5. Final Notice 2021: Colin Bermingham [pdf]

    Final notices Published: 01/11/2021
    This Final Notice (Colin Bermingham) refers to breaches of FIT related to Lack of fitness/propriety in the Investment Banking. We imposed a prohibition.

  6. FCA Final Notice 2015: Tiuta Plc [pdf]

    Final notices Published: 05/11/2015 Last modified: 05/11/2015
    This Final Notice refers to breaches of PRIN 4, COND, MIPRU and IPRU-INV related to threshold conditions in the investment adviser sector. We imposed a cancellation.

  7. Final notice 2016: BN1 Cars Ltd [pdf]

    Final notices Published: 24/03/2016 Last modified: 24/03/2016
    This final notice refers to breaches of COND and TC, failing to be open and co-operative. We imposed a refusal.

  8. FCA Final Notice 2013: IBBL Exchange UK Limited (formerly Jalalabad Money Transfer & Travels Limited) [pdf]

    Final notices Published: 18/07/2013 Last modified: 07/04/2015
    This Final Notice refers to breaches of PSR related to failing to be open and co-operative in the payment services sector. We imposed a cancellation.

  9. 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

  10. FCA Final Notice 2013: Westwind UK Limited [pdf]

    Final notices Published: 21/06/2013 Last modified: 07/04/2015
    This Final Notice refers to breaches of PSR related to failing to be open and co-operative in the payment services sector. We imposed a cancellation.
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