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Showing 601 to 610 of 1305 search results for Final Notice refers to breaches of APER.

  1. Final Notice 2015: Nineveh Advisory Limited [pdf]

    Final notices Published: 13/01/2015 Last modified: 13/01/2015
    This final notice refers to breaches of Principle 11 related to threshold conditions in the investment adviser sector. We imposed a cancellation.

  2. 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

  3. Final Notice 2019: Guiseppe Oliverio [pdf]

    Final notices Published: 28/08/2019
    This final notice refers to breaches of FIT related to a lack of fitness/propriety in the private business adviser sector. We imposed a prohibition.

  4. FCA Final Notice 2014: Safe Transfer Limited [pdf]

    Final notices Published: 24/07/2014 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 services sector. We imposed a cancellation.

  5. FCA Final Notice 2013: Resolution FX Limited [pdf]

    Final notices Published: 06/08/2013 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 services sector. We imposed a cancellation.

  6. FCA Final Notice 2013: Mohammed Waheed Razaq [pdf]

    Final notices Published: 04/11/2013 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.

  7. FCA Final Notice 2014: Santander UK plc [pdf]

    Final notices Published: 26/03/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 7, PRIN 9 and COBS related to unfair treatment of customers in the wealth management and private banking, investment advisers and platforms sector. We imposed a fine.

  8. Final Notice 2019: Lynden Gerard Scourfield [pdf]

    Final notices Published: 21/06/2019
    This final notice refers to breaches of FIT related to a lack of fitness/propriety in the retail banking sector. We imposed a prohibition.

  9. Final Notice 2017: Jamie Harwood T/A MJ HARWOOD [pdf]

    Final notices Published: 07/07/2017
    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.

  10. Final notice 2016: Solutions on Call Limited [pdf]

    Final notices Published: 21/01/2016 Last modified: 21/01/2016
    This final notice refers to breaches of Principle 11 related to Threshold Conditions and failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.
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