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Showing 301 to 310 of 2139 search results for Final Notice refers to breaches.
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Final Notice 2016: Tim Morse [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. -
Final Notice 2022: Santander UK Plc [pdf]
This Final Notice refers to breaches of PRIN 3 related to the risk of financial crime in the Retail Banking sector. We imposed a financial penalty. -
Final Notice 2023: Ray Alan Davis [pdf]
This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the General Insurance and Protection sector. We imposed a prohibition. -
FCA Final Notice 2013: Praetor Capital LLP [pdf]
This Final Notice refers to breaches of PRIN 11 related to threshold conditions in the asset management sector. We imposed a cancellation. -
Final Notice 2016: Dale Robert Walker [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. -
Final Notice 2015: Kenneth George Carver [pdf]
This final notice refers to breaches of MAR related to market abuse in the issuer sector. We imposed a fine. -
Final notice 2016: Jonathan R Milnes [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. -
Final Notice 2017: HRS (Luton) Limited [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation. -
Final Notice 2023: Zereen Money Limited [pdf]
This final notice refers to breaches of payment services regulations (PSR) related to failing to be open and co-operative in the payment services sector. We imposed a cancellation. -
Final Notice 2015: M8’s Rates Loans Limited [pdf]
This final notice refers to breaches of COND and CONC, related to threshold conditions in the consumer credit sector. We imposed a refusal.