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Showing 1071 to 1080 of 1216 search results for Final Notice refers to breaches of PRIN 3 related.
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FCA Final Notice 2014: GS Cars (UK) Limited [pdf]
This final notice refers to breaches of COND related to lack of fitness/propriety in the consumer credit sector. We imposed a refusal. -
Final notice 2016: Tellaw (UK) Limited [pdf]
This final notice refers to breaches of the Electronic Money Regulations 2011, Regulation 13, related to initial capital, business plan, safeguarding, lack of fitness and propriety, and failing to be open and co-operative with the Authority. We -
FCA Final Notice 2014: Best Value 4 U Limited [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: Currencies House Limited [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: Provident Equity Limited [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: Peter Thomas Carron [pdf]
This final notice refers to breaches of APER 1 related to unfair treatment of customers, and lack of fitness/propriety in the investment adviser sector. We imposed a fine and a prohibition. -
FCA Final Notice 2014: John Christopher Hughes [pdf]
This final notice refers to breaches of FIT related to market protection, wholesale conduct, and lack of fitness/propriety in the investment bank. We imposed a prohibition. -
FCA Final Notice 2014: Abacus Transfers 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 2017: Paul Axel Walter [pdf]
This final notice refers to breaches of section 118 FSMA related to market abuse in the trading firm sector. We imposed a financial penalty. -
FCA Final Notice 2013: Leader Transfer Limited [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.