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Showing 1091 to 1100 of 1216 search results for Final Notice refers to breaches of PRIN 3 related.

  1. Final Notice 2018: Terence Sefton Potter [pdf]

    Final notices Published: 29/05/2018
    This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment sector. We imposed a prohibition.

  2. Final Notice 2015: Noraminvest UK Limited [pdf]

    Final notices Published: 12/05/2015 Last modified: 12/05/2015
    This final notice refers to breaches of principle 11 and TC related to threshold conditions and failing to be open and co-operative in the investment advisor sector. We imposed a cancellation.

  3. FCA Final Notice 2014: Craig Stuart Cameron [pdf]

    Final notices Published: 29/08/2014 Last modified: 07/04/2015
    This final notice refers to breaches of APER1 and FIT related to lack of fitnes/propriety and unfair treatment of customers in the investment adviser and platform sector. We imposed a fine and a prohibition.

  4. Final Notice 2015: Auto Leasing UK Limited [pdf]

    Final notices Published: 04/11/2015 Last modified: 04/11/2015
    This Final Notice refers to breaches of COND and CONC related to Threshold Conditions in the Consumer Credit sector. We imposed a refusal.

  5. Final Notice 2015: Andrew Peter Wilkins [pdf]

    Final notices Published: 27/10/2015 Last modified: 27/10/2015
    This Final Notice refers to breaches of APER 6 related to unfair treatment of customers in the Investment Advisor sector. We imposed a fine.

  6. Final Notice 2018: UK4REX Limited [pdf]

    Final notices Published: 14/12/2018
    This final notice (UK4REX Limited) refers to breaches of payment services regulations (PSR) related to failing to be open and co-operative in the payment services sector. For the interest and protection of Consumers, we imposed a cancellation.

  7. Final Notice 2016: Bangla Express Limited [pdf]

    Final notices Published: 24/11/2016
    This final notice refers to breaches of PSR related to failing to be open and co-operative and payment services regulations in the payment services sector. We imposed a cancellation.

  8. Final Notice 2018: Darren Lee Newton [pdf]

    Final notices Published: 20/12/2018
    This final notice (Darren Lee Newton) refers to breaches of FIT related to client money/assets and lack of fitness/propriety in the consumer credit sector. We imposed a prohibition.

  9. FCA Final Notice 2014: Anthony Clare [pdf]

    Final notices Published: 05/11/2014 Last modified: 07/04/2015
    This final notice refers to breaches of APER 6 and 7 related to unfair treatment of customers, mis-selling, remuneration, and culture/governance in the general insurance and protection sector. We imposed a public fine.

  10. Final notice 2016: Mark Samuel Taylor [pdf]

    Final notices Published: 13/05/2016 Last modified: 13/05/2016
    This final notice refers to breaches of FIT as well as section 118(2) Financial Services and Markets Act 2000, related to market abuse and a lack of fitness/propriety in the wealth management and private banking sector. We imposed a fine and
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