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Showing 121 to 130 of 2104 search results for final notice refers to breaches.

121. Final Notice 2017: James Pollock [pdf]

     Final notices Published: 20/02/2017
     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.

122. Final Notice 2017: Glen Eagleson [pdf]

     Final notices Published: 21/02/2017
     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.

123. Final Notice 2017: Jake Vickers [pdf]

     Final notices Published: 03/03/2017
     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.

124. Final Notice 2017: Steven Brady [pdf]

     Final notices Published: 03/03/2017
     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.

125. Final Notice 2024: Floris Jakobus Huisamen [pdf]

     Final notices Published: 13/02/2024
     This Final Notice refers to breaches of CoBS related to financial promotions in the Issuer sector. We

126. FCA Final Notice 2014: Mark Stevenson [pdf]

     Final notices Published: 20/03/2014 Last modified: 07/04/2015
     This final notice refers to breaches of MAR related to market abuse in the investment banks sector. We imposed a fine and prohibition.

127. Final Notice 2015: Rogerio Pinto [pdf]

     Final notices Published: 12/02/2015 Last modified: 02/04/2015
     This final notice refers to breaches of FIT related to lack of fitness and propriety in the trading firm sector. We imposed a refusal.

128. FCA Final Notice 2014: State Street [pdf]

     Final notices Published: 31/01/2014 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 6 and PRIN 7 related to wholesale conduct, unfair treatment of customers in the investment banks sector. We imposed a fine.

129. FCA Final Notice 2014: Besso Limited [pdf]

     Final notices Published: 19/03/2014 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 3 related to anti-Bribery and corruption in the general insurance and protection sector. We imposed a fine.

130. FCA Final Notice 2013: Alison Moran [pdf]

     Final notices Published: 04/10/2013 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 6 related to financial promotions and unfair treatment of customers in the investment advisers and platforms sector. We imposed a penalty.