Filter results
Filter by document type
Filter by year
Sort by:

Search results

Showing 1161 to 1170 of 1216 search results for Final Notice refers to breaches of PRIN 3 related.

  1. FCA Final Notice 2013: The Transportation Group (UK) Limited [pdf]

    Final notices Published: 02/09/2013 Last modified: 07/04/2015
    This final notice refers to breaches of TC related to threshold conditions in the designated investment business sector. We imposed a cancellation.

  2. Final Notice 2015: Exotic Money Services Limited [pdf]

    Final notices Published: 11/08/2015 Last modified: 11/08/2015
    This final notice refers to breaches of PSR, related to payment service regulations and failing to be open and co-operative in the payment services sector. We imposed a cancellation.

  3. Final Notice 2019: Royaume FEX Limited [pdf]

    Final notices Published: 07/01/2019
    This final notice (Royaume FEX 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.

  4. FCA Final Notice 2014: Bluerock Foreign Exchange 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.

  5. Further Final Notice 2020: Robert Ian Shaw [pdf]

    Final notices Published: 23/03/2020
    This Final Notice (Robert Ian Shaw) refers to breaches of APER 7 and FIT related to mis-selling, lack of fitness/propriety and conflicts of interest in the Investment Adviser and Pensions sector. We imposed a financial penalty, a prohibition and

  6. Final notice 2016: Andrea Christine Sadler [pdf]

    Final notices Published: 01/02/2016 Last modified: 01/02/2016
    This final notice refers to breaches of APER 6 and FIT related to appointed representatives, client money, failing to act on information appropriately, lack of fitness/propriety and unfair treatment of customers in the general insurance and

  7. Final Notice 2018: Alistair Rae Burns [pdf]

    Final notices Published: 20/09/2018
    This Final Notice refers to breaches of APER 7 and FIT related to conflicts of interest, a lack of fitness/propriety and mis-selling in the investment adviser and pensions sector. We imposed a fine and a prohibition.

  8. FCA Final Notice 2014: The Zim Shop Limited [pdf]

    Final notices Published: 09/04/2014 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 systems sector. We imposed a cancellation.

  9. First Supervisory Notice 2022: Pello Capital Limited [pdf]

    Supervisory notices Published: 21/12/2022 Last modified: 23/12/2022
    This First Supervisory Notice refers to breaches of Prin 3, 4 and 11 related to failing demonstrate that Pello Capital Limited has adequate and appropriate systems and controls to effectively manage risks. Failing to maintain adequate financial

  10. Further Final Notice 2020: Lloyd Arnold Pope [pdf]

    Final notices Published: 23/03/2020
    This Final Notice (Lloyd Arnold Pope) refers to breaches of APER 7 and FIT related to mis-selling, lack of fitness/propriety and conflicts of interest in the Investment Adviser and Pensions sector. We imposed a financial penalty, a prohibition and
Related searches