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Showing 1041 to 1050 of 1216 search results for Final Notice refers to breaches of PRIN 3 related.

  1. Final Notice 2015: Badruzzaman Choudhury [pdf]

    Final notices Published: 17/08/2015 Last modified: 17/08/2015
    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.

  2. Final notice 2016: Solutions on Call Limited [pdf]

    Final notices Published: 21/01/2016 Last modified: 21/01/2016
    This final notice refers to breaches of Principle 11 related to Threshold Conditions and failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  3. 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.

  4. Final Notice 2016: Tariq Carrimjee [pdf]

    Final notices Published: 28/11/2016
    This final notice refers to breaches of APER 2 and FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a fine and prohibition.

  5. Final Notice 2015: Robin Farrell [pdf]

    Final notices Published: 31/03/2015 Last modified: 31/03/2015
    This final notice refers to breaches of APER 1 and APER 7 related to conflicts of interests and lack of fitness/propriety in the investment advisor sector. We imposed a fine, withdrawal and prohibition.

  6. Final Notice 2017: Christopher Niehaus [pdf]

    Final notices Published: 30/03/2017
    This final notice refers to breaches of APER 2 related to wholesale conduct in the investment banking sector. We imposed a fine.

  7. Final Notice 2015: Merrill Lynch International [pdf]

    Final notices Published: 22/04/2015 Last modified: 22/04/2015
    This final notice refers to breaches of SUP related to transaction reporting in the investment bank sector. We imposed a fine.

  8. FCA Final Notice 2014: Safe Transfer Limited [pdf]

    Final notices Published: 24/07/2014 Last modified: 07/04/2015
    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.

  9. FCA Final Notice 2013: Resolution FX Limited [pdf]

    Final notices Published: 06/08/2013 Last modified: 07/04/2015
    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.

  10. FCA Final Notice 2013: Mohammed Waheed Razaq [pdf]

    Final notices Published: 04/11/2013 Last modified: 07/04/2015
    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.
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