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Showing 201 to 210 of 1281 search results for final notice refers to breaches of PSR.

201. Final Notice 2022: Michael Mendonca Nascimento [pdf]

     Final notices Published: 28/04/2022
     This Final Notice (Michael Mendonca Nascimento) refers to breaches of FIT. We imposed a prohibition.

202. Final Notice 2017: M V Autos [pdf]

     Final notices Published: 23/06/2017
     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.

203. Final Notice 2022: TFS Loans Ltd (in administration) [pdf]

     Final notices Published: 10/06/2022
     This Final Notice (TFS Loans Ltd in administration) refers to breaches of the Principle 6 and 3 and CONC related to the unfair treatment of customers acting as guarantors in the consumer credit sector. A financial penalty has been imposed and TFS

204. FCA Final Notice 2014: Ewan King [pdf]

     Final notices Published: 30/01/2014 Last modified: 19/05/2015
     This final notice refers to breaches of PRIN 1 related to lack of fitness/propriety in the investment adviser sector. We imposed a fine and a prohibition.

205. Final notice 2016: Mark Thorogood [pdf]

     Final notices Published: 12/01/2016 Last modified: 12/01/2016
     This final notice refers to breaches of FIT related to a lack of fitness/propriety and mortgage fraud in the mortgages sector. We imposed a refusal.

206. Final notice 2016: Patrick Gray [pdf]

     Final notices Published: 09/06/2016 Last modified: 09/06/2016
     This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

207. Final Notice 2020: Goldman Sachs International (GSI) [pdf]

     Final notices Published: 22/10/2020 Last modified: 22/10/2020
     This Final Notice refers to breaches of PRIN 2 and PRIN 3 related to wholesale conduct in the investment bank sector. We imposed a financial penalty.

208. Final notice 2016: Mr Paul White [pdf]

     Final notices Published: 12/04/2016 Last modified: 12/04/2016
     This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment bank sector. We imposed a prohibition and public censure.

209. Final Notice 2017: Ian Foden [pdf]

     Final notices Published: 23/06/2017
     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.

210. Final notice 2016: Lester Evans [pdf]

     Final notices Published: 15/04/2016 Last modified: 15/04/2016
     This final notice refers to breaches of PRIN 11 and COND related to failing to be open and cooperative and threshold conditions in the general insurance and protection sector. We imposed a cancellation.