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Showing 1451 to 1460 of 1715 search results for Final Notice refers to breaches of PRIN.
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Final Notice 2018: Jonathan Mathew [pdf]
This final notice refers to breaches of FIT related to benchmarks, a lack of fitness/propriety and wholesale conduct in the retail bank sector. We imposed a prohibition. -
Final notice 2016: Peter Charles Bottomley [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition. -
Final Notice 2018: Arif Hussein [pdf]
This final notice refers to breaches of FIT related to lack of fitness/propriety and benchmarks in the investment bank sector. We imposed a prohibition. -
Final Notice 2015: Sylhet Links Limited [pdf]
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. -
FCA Final Notice 2013: Mark Richard Faulkner [pdf]
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. -
Final Notice 2024: Nicholas Andrew McNeil [pdf]
This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition. -
Final Notice 2015: Mother Cash Limited [pdf]
This final notice refers to breaches of PSR related to Payment Services Regulations and failing to be open and co-operative in the payment services sector. We imposed a cancellation. -
Final Notice 2015: Nineveh Advisory Limited [pdf]
This final notice refers to breaches of Principle 11 related to threshold conditions in the investment adviser sector. We imposed a cancellation. -
Final Notice 2016: Richard Barca [pdf]
This final notice refers to breaches of PRIN11 and COND relating to failing to be open and co-operative in the consumer credit sector. We imposed a refusal. -
Final Notice 2021: Unicorn Auto Services Limited [pdf]
This final notice Unicorn Auto Services Limited refers to a failure to satisfy the threshold conditions (COND) and to be open and cooperative with the regulator (PRIN 11) in the claims management sector. We refused the firm’s application for