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Showing 51 to 60 of 1272 search results for final notice refers to breaches of s.118.
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Final Notice 2018: Metlife Ltd [pdf]
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. -
Final Notice 2020: Goldman Sachs International (GSI) [pdf]
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. -
Final Notice 2020: Simon Charles Oakley [pdf]
This Final Notice (Simon Charles Oakley) refers to breaches of FIT by a financial adviser. We imposed a prohibition.” -
FCA Final Notice 2013: Westwind UK Limited [pdf]
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. -
Final Notice 2022: Bellamachina Ltd [pdf]
This final notice refers to a failure to satisfy the suitability threshold condition (COND). -
Final Notice 2021: Colin Bermingham [pdf]
This Final Notice (Colin Bermingham) refers to breaches of FIT related to Lack of fitness/propriety in the Investment Banking. We imposed a prohibition. -
Final Notice 2017: Keep Sheffield Warm [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be -
Final Notice 2017: M V Autos [pdf]
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. -
FCA Final Notice 2013: Kuya J’s Filipino Store Limited [pdf]
This Final Notice refers to breaches of PSR related to failing to be open and co-operative in the -
Final notice 2016: Mark Kelly [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.