Search results

Showing 221 to 230 of 1305 search results for Final Notice refers to breaches of APER.

221. Final Notice 2017: Eric Randle [pdf]

     Final notices Published: 12/04/2017
     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.

222. Final notice 2024: Etemaad Money Transfere Ltd [pdf]

     Final notices Published: 18/04/2024
     This final notice refers to breaches of Payment Services Regulations 2017 related to a failure to meet the conditions of registration. We imposed a cancellation.

223. FCA Final Notice 2013: Westwood Independent Financial Planners [pdf]

     Final notices Published: 17/12/2013 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 7, PRIN 9 and COBS related to mis-selling and unfair treatment of customers in the investment advisers and platforms sector. We imposed a fine.

224. Final notice 2016: Simon Wright [pdf]

     Final notices Published: 25/02/2016 Last modified: 25/02/2016
     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.

225. Final notice 2016: John Sanders [pdf]

     Final notices Published: 25/02/2016 Last modified: 25/02/2016
     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.

226. FCA Final Notice 2013: Daniel Norris [pdf]

     Final notices Published: 23/10/2013 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 11 related to threshold conditions in the general insurance and protection. We imposed a cancellation.

227. Final notice 2016: Gavin Breeze [pdf]

     Final notices Published: 15/07/2016 Last modified: 15/07/2016
     This final notice refers to breaches of s.118(2) and (3) Financial Services and Markets Act 2000 related to market abuse in the issuer sector. We imposed a fine, required restitution and a public censure.

228. Final Notice 2024: Paul Ulliott [pdf]

     Final notices Published: 15/01/2024
     This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

229. FCA Final Notice 2014: Mohsin Shahzad Khan [pdf]

     Final notices Published: 11/07/2014 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.

230. Final notice 2016: Volpe Capital Management LLP [pdf]

     Final notices Published: 13/07/2016 Last modified: 21/07/2016
     This final notice refers to a breach of PRIN 11 related to failing to be open and co-operative in the investment adviser sector. We imposed a cancellation.