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Showing 571 to 580 of 1340 search results for Final Notice refers to breaches of FIT.

571. 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.

572. FCA Final Notice 2013: Credit-2Go Limited [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.

573. FCA Final Notice 2014: 7722656 Canada Inc formerly carrying on business as Swift Trade Inc [pdf]

     Final notices Published: 24/01/2014 Last modified: 07/04/2015
     This final notice refers to breaches of MAR related to market abuse in the trading firms sector. We imposed a fine.

574. FCA Final Notice 2014: Barclays Bank PLC [pdf]

     Final notices Published: 23/05/2014 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 3 and PRIN 8 related to benchmarks and conflicts of interest in the investment banks sector. We imposed a fine.

575. 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.

576. Final Notice 2017: Deutsche Bank [pdf]

     Final notices Published: 31/01/2017
     This final notice refers to breaches of PRIN 3 and SYSC related to culture/governance and financial crime in the investment bank sector. We imposed a fine.

577. FCA Final Notice 2014: Managed Debt Services Ltd [pdf]

     Final notices Published: 26/07/2014 Last modified: 07/04/2015
     This final notice refers to breaches of TC and CONC related to threshold conditions in the consumer credit sector. We imposed a refusal.

578. Final Notice 2015: Robin Farrell [pdf]

     Final notices Published: 31/03/2015 Last modified: 31/03/2015
     This final notice refers to breaches of APER 1 and APER 7 related to conflicts of interests and lack of fitness/propriety in the investment advisor sector. We imposed a fine, withdrawal and prohibition.

579. Final Notice 2016: KMLM Ltd [pdf]

     Final notices Published: 22/11/2016
     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.

580. Final Notice 2017: Michael Wilkinson Mortgages (trading as Michael Wilkinson) [pdf]

     Final notices Published: 02/02/2017
     This final notice refers to breaches of PRIN 4, PRIN 11, SUP, MIPRU and COND related to failing to be open and co-operative and threshold conditions in the general insurance and protection and mortgages sector. We imposed a cancellation.