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Showing 1001 to 1010 of 1216 search results for Final Notice refers to breaches of PRIN 3 related.
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Final Notice 2015: Michael John Allin [pdf]
This final notice refers to breaches of APER 4 related to failure to be open and cooperative with the Authority. We imposed a fine. -
Final notice 2018: VIP Wealth Ltd [pdf]
This final notice refers to breaches of COND related to Threshold conditions in the wholesale sector. We imposed a refusal. -
Final Notice 2023: Ray Alan Davis [pdf]
This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the General Insurance and Protection sector. We imposed a prohibition. -
FCA Final Notice 2014: City & Provincial and Mr Zaffar Hassan Tanweer [pdf]
This final notice refers to breaches of APER 1 and FIT related to mortgage fraud in the mortgages and consumer credit sector. We imposed a prohibition (full), fine, withdrawal and cancellation. -
Final Notice 2016: Scott Michael Crawley [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: RSI Bank Plc [pdf]
This final notice refers to breaches of COND related to Threshold conditions in the consumer credit sector. We imposed a refusal. -
FCA Final Notice 2014: Michael Stanley Hirst [pdf]
This final notice refers to breaches of FIT related to lack of fitness/propriety in the investment advisor sector. We imposed a prohibition. -
FCA Final Notice 2014: Euro Remittance Limited [pdf]
This final notice refers to breaches of PSR related to the Payment Services Regulations in the payment services sector. We imposed a cancellation. -
Final notice 2015: Fast Track Money Transfer (UK) Limited [pdf]
This final notice refers to breaches of the Payment Services Regulations 2009 (the PSRs), Regulation 6, related to failure to meet the conditions for authorisation. We imposed a refusal of the firm’s application for authorisation as a payment -
Final Notice 2017: Nazia Naweed Shah [pdf]
This final notice refers to breaches of PSR related to failing to be open and cooperative in the payment services sector. We imposed a cancellation.