Publications

Showing 1711 to 1720 of 3616 search results.

1711. Final Notice 2015: Stephen Edward Bell [pdf]

      Final notices

      Published: 13/03/2015

      Last modified: 31/03/2015

      This final notice refers to breaches of PRIN 3 (knowing concern) and FIT related to the lack of fitness/propriety, culture/governance and appointed representatives in the general insurance and protection, investment adviser and platform sector. We

1712. Final Notice 2015: Sam Thomas Kenny [pdf]

      Final notices

      Published: 13/03/2015

      Last modified: 13/03/2015

      This final notice refers to breaches of APER 1 and APER 7 related to unfair treatment of customers, mis-selling, lack of fitness/propriety in the investment adviser sector. We imposed a fine and a prohibition.

1713. Final Notice 2015: Bank of Beirut (UK) Ltd [pdf]

      Final notices

      Published: 05/03/2015

      Last modified: 05/03/2015

      This final notice refers to breaches of PRIN 11 related to financial crime risks and failure to be open and cooperative with the Authority. We imposed a fine and a restriction.

1714. Final Notice 2015: Michael John Allin [pdf]

      Final notices

      Published: 05/03/2015

      Last modified: 05/03/2015

      This final notice refers to breaches of APER 4 related to failure to be open and cooperative with the Authority. We imposed a fine.

1715. Final Notice 2015: Aviva Investors Global Services Limited [pdf]

      Final notices

      Published: 24/02/2015

      Last modified: 24/02/2015

      This final notice refers to breaches of PRIN 3, PRIN 8 and COBS related to unfair treatment of customers, conflicts of interest and culture / governance in the Asset management sector. We imposed a fine.

1716. Final Notice 2015: Paul Christopher Ridden [pdf]

      Final notices

      Published: 18/02/2015

      Last modified: 18/02/2015

      This final notice refers to breaches of FIT, related to threshold conditions in the consumer credit sector. We imposed a cancellation.

1717. Final Notice 2015: Michael Banks [pdf]

      Final notices

      Published: 17/02/2015

      Last modified: 17/02/2015

      This final notice refers to breaches of TC related to threshold conditions in the consumer credit sector. We imposed a refusal.

1718. 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.

1719. Final Notice 2015: LAFM Limited (formerly known as Lloyd Anderson Financial Management Limited) [pdf]

      Final notices

      Published: 12/02/2015

      Last modified: 12/02/2015

      This final notice refers to breaches of Principle 11, related to threshold conditions in the consumer credit sector. We imposed a cancellation.

1720. Final Notice 2015: PricewaterhouseCoopers LLP [pdf]

      Final notices

      Published: 06/02/2015

      Last modified: 06/02/2015

      Following a request received from PricewaterhouseCoopers LLP, the FCA hereby limits and restricts the services to which the sponsor approval of PricewaterhouseCoopers LLP relates