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Showing 1631 to 1640 of 1715 search results for Final Notice refers to breaches of PRIN.
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Further Final Notice 2020: Lloyd Arnold Pope [pdf]
This Final Notice (Lloyd Arnold Pope) refers to breaches of APER 7 and FIT related to mis-selling, lack of fitness/propriety and conflicts of interest in the Investment Adviser and Pensions sector. We imposed a financial penalty, a prohibition and -
Final Notice 2018: Swift Cash UK Limited [pdf]
This final notice refers to breaches of the PSR relating to Payment Services Regulations and failing to be open and co-operative in the payment services sector. We imposed a cancellation. -
Final Notice 2020: PPI Tax Rebate Ltd, formerly carrying on business as Tax Back PPI Ltd and Helpful Law Ltd [pdf]
This final notice refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative (PRIN 11) in the claims management sector. We refused the firm’s application for authorisation. -
FCA Final Notice 2013: The Transportation Group (UK) Limited [pdf]
This final notice refers to breaches of TC related to threshold conditions in the designated investment business sector. We imposed a cancellation. -
Final Notice 2019: Tunstall Trade Car Sales Limited [pdf]
This final notice refers to a failure to satisfy the suitability threshold condition (COND) relating to a lack of fitness/propriety having regard to all the circumstances, including connections with other persons, and failing to be open and -
Final Notice 2021: Servicesport Finance Limited [pdf]
This Final Notice refers to a failure to satisfy the Fit and Proper Test (FIT). We refused the individual’s application for approval. -
Decision Notice 2020: Eurofin Capital Ltd [pdf]
This decision notice (Eurofin Capital Ltd) refers to breaches of The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 related to failing to be open and co-operative in the trading firm sector. -
Final Notice 2019: Mark John Owen [pdf]
This final notice (Mark John Owen) refers to breaches by an executive director of APER 1, APER 4 and FIT related to a lack of fitness/propriety and failing to act on information appropriately in the asset management sector. We imposed a fine and -
FCA Final Notice 2014: Bluerock Foreign Exchange 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. -
Final Notice 2019: Andrew James Tinney [pdf]
This final notice (Andrew James Tinney) refers to breaches of APER 1 related to failing to be open and co-operative and a lack of fitness/propriety in the wealth management and private banking sector. We imposed a public censure.