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Showing 261 to 270 of 2139 search results for Final Notice refers to breaches.

261. Final notice 2016: Tellaw (UK) Limited [pdf]

     Final notices Published: 17/08/2016
     This final notice refers to breaches of the Electronic Money Regulations 2011, Regulation 13, related to initial capital, business plan, safeguarding, lack of fitness and propriety, and failing to be open and co-operative with the Authority. We

262. FCA Final Notice 2013: Michael Conway [pdf]

     Final notices Published: 17/12/2013 Last modified: 07/04/2015
     This final notice refers to breaches of FIT related to lack of fitness/propriety in the wealth management and private banking, investment advisers and platforms sector. We imposed a prohibition.

263. Final Notice 2020: Shruti Patel aka Cindy Brad [pdf]

     Final notices Published: 09/12/2020 Last modified: 09/12/2020
     This Final Notice refers to breaches of FIT by an unapproved mortgage advisor. We imposed a prohibition.

264. Final Notice 2015: Quick Purchase [pdf]

     Final notices Published: 23/10/2015 Last modified: 23/10/2015
     This Final Notice refers to breaches of PRIN 6 and MCOB (Mortgage Conduct of Business Rules) related to unfair treatment of customers in the sale and rent back sector. We imposed a fine and redress.

265. FCA Final Notice 2014: David Gillespie [pdf]

     Final notices Published: 09/10/2014 Last modified: 07/04/2015
     This final notice refers to breaches of APER 1 and APER 6 related to client money/assets in the asset management sector. We imposed a fine, withdrawal and a prohibition.

266. Final Notice 2016: Ross Tony Peters [pdf]

     Final notices Published: 01/11/2016
     This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

267. Final Notice 2016: Aaron Lee Petrou [pdf]

     Final notices Published: 01/11/2016
     This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

268. Final Notice 2020: TFS-ICAP Limited [pdf]

     Final notices Published: 23/11/2020 Last modified: 23/11/2020
     This Final Notice refers to breaches of PRIN 2, PRIN 3 and PRIN 5 related to wholesale conduct in the wholesale broker sector. We imposed a financial penalty.

269. FCA Final Notice 2014: World Link UK Limited [pdf]

     Final notices Published: 19/05/2014 Last modified: 07/04/2015
     This final notice refers to breaches of PSR related to failing to be open and co-operative in the payment systems sector. We imposed a cancellation.

270. Final Notice 2019: Potters’ Music Shop (Croydon) Limited [pdf]

     Final notices Published: 25/07/2019
     This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in