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Showing 601 to 610 of 1340 search results for Final Notice refers to breaches of FIT.

601. FCA Final Notice 2013: ICAP Europe Ltd [pdf]

     Final notices Published: 25/09/2013 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 3 and PRIN 5 related to wholesale conduct, benchmarks, and culture/governance in the trading firms sector. We imposed a fine.

602. Final Notice 2017: Claudia Vida [pdf]

     Final notices Published: 30/08/2017
     This final notice refers to breaches of Principle 11 and SUP related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

603. Final Notice 2021: Donna Worsfold [pdf]

     Final notices Published: 02/12/2021
     This final notice refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative (PRIN 11) in the credit broking sector. We refused the firm’s application for authorisation.

604. Final notice 2016: CT Capital Limited [pdf]

     Final notices Published: 01/06/2016 Last modified: 01/06/2016
     This final notice refers to breaches of PRIN 3 and PRIN 6 related to complaints-handling and the unfair treatment of customers in the general insurance and protection sector. We imposed a fine.

605. Final Notice 2017: Kenneth Wills [pdf]

     Final notices Published: 11/04/2017
     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.

606. Final Notice 2017: Jonathan David Lee [pdf]

     Final notices Published: 14/03/2017
     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.

607. Final Notice 2017: Lyndon Alun Davies [pdf]

     Final notices Published: 03/03/2017
     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.

608. Final Notice 2015: Sylhet Links Limited [pdf]

     Final notices Published: 21/07/2015 Last modified: 21/07/2015
     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.

609. FCA Final Notice 2013: Mark Richard Faulkner [pdf]

     Final notices Published: 29/07/2013 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 a cancellation.

610. FCA Final Notice 2013: JLT Specialty Limited [pdf]

     Final notices Published: 19/12/2013 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 3 related to financial crime in the general insurance and protection sector. We imposed a fine.