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Showing 321 to 330 of 1340 search results for Final Notice refers to breaches of FIT.

321. 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.

322. FCA Final Notice 2013: Norest Chari [pdf]

     Final notices Published: 02/07/2013 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.

323. FCA Final Notice 2013: Nasir Sarwar [pdf]

     Final notices Published: 03/10/2013 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.

324. FCA Final Notice 2013: Abdul Majeed [pdf]

     Final notices Published: 05/08/2013 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.

325. FCA Final Notice 2014: Sultan Ahmed [pdf]

     Final notices Published: 20/06/2014 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.

326. FCA Final Notice 2013: Fokrul Islam [pdf]

     Final notices Published: 11/11/2013 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.

327. Final Notice 2022: JLT Specialty Limited [pdf]

     Final notices Published: 22/06/2022
     This Final Notice (JLT Speciliaty Limited) refers to breaches of PRIN 3 related to anti-bribery and corruption and financial crime in the general insurance and protection sector. We imposed a financial penalty.

328. Final Notice 2017: Nadeem Aslam [pdf]

     Final notices Published: 23/06/2017
     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.

329. Final notice 2016: James Kirkwood [pdf]

     Final notices Published: 03/03/2016 Last modified: 03/03/2016
     This final notice refers to breaches of Principle 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

330. Final notice 2016: W H Ireland Limited [pdf]

     Final notices Published: 23/02/2016 Last modified: 23/02/2016
     This final notice refers to breaches of PRIN 3 and SYSC related to market protection, culture/governance and conflicts of interest in the wealth management and private banking sector. We imposed a fine and restriction.