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Showing 671 to 680 of 1097 search results for Final Notice refers to breaches of APER 7 related.

671. Final Notice 2015: John Edward Duncan Field [pdf]

     Final notices Published: 15/07/2015 Last modified: 15/07/2015
     This final notice refers to breaches of FIT related to lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

672. Final Notice 2020: Ryan Fawson (Kingfisher Finance trading as) [pdf]

     Final notices Published: 25/02/2020
     This final notice (Ryan Fawson (Kingfisher Finance trading as)) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation”.

673. Final Notice 2017: Alistair Charles Proctor [pdf]

     Final notices Published: 08/11/2017
     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.

674. Final Notice 2017: 21st Telecoms Limited [pdf]

     Final notices Published: 30/08/2017
     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.

675. Final Notice 2017: Emrose Dean Ltd [pdf]

     Final notices Published: 21/08/2017
     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.

676. Final Notice 2016: The Heating Design Centre (James Gary Law trading as) [pdf]

     Final notices Published: 26/10/2016
     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.

677. FCA Final Notice 2013: Nicholas Welsh & Co Limited [pdf]

     Final notices Published: 03/07/2013 Last modified: 07/04/2015
     This Final Notice refers to breaches of TC related to threshold conditions in the investment advisors & platforms sector. We imposed a cancellation.

678. Final Notice 2020: Paul Michael Grant [pdf]

     Final notices Published: 12/02/2020
     This final notice (Paul Michael Grant) refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

679. Final Notice 2019: Kevin Gorman [pdf]

     Final notices Published: 20/12/2019
     This Final Notice refers to breaches of Article 19(1) of MAR related to failing to notify trading in shares to their issuer and the FCA as a PDMR in the issuer sector. We imposed a financial penalty.

680. Final Notice 2019: Alison Mary Mills [pdf]

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