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Showing 501 to 510 of 1305 search results for Final Notice refers to breaches of APER.

501. FCA Final Notice 2013: Xcap Securities PLC [pdf]

     Final notices Published: 11/06/2013 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 3, PRIN 10 related to client money/assets in the trading firms sector. We imposed a fine.

502. Final Notice 2019: Alonso Lopez [pdf]

     Final notices Published: 12/12/2019
     This final notice (Alonso Lopez) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

503. Final notice 2016: EVS Trading Limited [pdf]

     Final notices Published: 27/01/2016 Last modified: 27/01/2016
     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.

504. Final Notice 2020: Inovtrix Ltd [pdf]

     Final notices Published: 17/07/2020
     This final notice Inovtrix Ltd refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

505. Final Notice 2017: Terry Hodges [pdf]

     Final notices Published: 11/10/2017
     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.

506. Final Notice 2018: RSI Bank Plc [pdf]

     Final notices Published: 20/02/2018
     This final notice refers to breaches of COND related to Threshold conditions in the consumer credit sector. We imposed a refusal.

507. FCA Final Notice 2013: John Patrick Morris [pdf]

     Final notices Published: 15/08/2013 Last modified: 07/04/2015
     This final notice refers to breaches of TC related to threshold conditions in the general insurance and protection sector. We imposed a OIVOP and cancellation.

508. Final Notice: Danes Autos Limited [pdf]

     Final notices Published: 21/10/2016
     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.

509. Final Notice 2022: Philippe Moryoussef [pdf]

     Final notices Published: 28/07/2022
     This Final Notice refers to Mr Moryoussef’s fitness and propriety to perform a regulated function, following his conviction for conspiracy to defraud. We have prohibited Mr Moryoussef from performing any function in relation to a regulated activity

510. Final Notice 2017: John Poynton [pdf]

     Final notices Published: 24/05/2017
     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.