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Showing 1021 to 1030 of 1216 search results for Final Notice refers to breaches of PRIN 3 related.
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FCA Final Notice 2013: Mustafa Dervish [pdf]
This final notice refers to breaches of APER 1 and 7 related to mis-selling, lack of fitness and propriety, and conflicts of interest in the investment advisors and platforms sector. We imposed a prohibition, withdrawal and a fine . -
FCA Final Notice 2014: Shahid Sultan Babar [pdf]
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. -
FCA Final Notice 2014: Go Transfer 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: Horn Express Ltd (formerly Qaran Express Money Transfer Limited) [pdf]
This final notice refers to breaches of PSR related to client money/assets in the payment services sector. We imposed a public censure. -
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: 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 2022: Luke Andrew Durrant [pdf]
The Final Notice refers to breaches of FIT related to lack of fitness and proprietary in the General Insurance and Pensions 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: 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 2015: Ghanshyam Sarup Batra [pdf]
This final notice refers to breaches of FIT, APER 1, APER 4 related to lack of fitness/propriety and failing to be open and co-operative in the mortgages sector. We imposed a prohibition and a withdrawal.