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Showing 161 to 170 of 1280 search results for final notice refers to breaches of PSR.

161. 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.

162. 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.

163. 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.

164. 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

165. Final Notice 2022: Matthew Charles Kent [pdf]

     Final notices Published: 06/10/2022
     This Final Notice (Matthew Charles Kent) refers to breaches of APER 7 related to the failure to ensure compliance with PRIN 3 in the trading firms sector, which led to further breaches of SUP 17, SUP 15 and Article 16 of MAR. We imposed a financial

166. Final Notice 2022: Stephen John Tomlin [pdf]

     Final notices Published: 06/10/2022
     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

167. 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.

168. Final Notice 2023: Geoffrey Edward Armin [pdf]

     Final notices Published: 03/11/2023
     This Final Notice refers to breaches of Statements of Principle 2 and 7 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We imposed a partial prohibition. A payment of £200,000 is being made to

169. Final Notice 2023: Al Rayan Bank PLC [pdf]

     Final notices Published: 11/01/2023
     This Final Notice refers to breaches of Principle 3 related to Financial Crime in the Retail Bank sector. We imposed a Financial Penalty.

170. 2024 fines

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