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Showing 881 to 890 of 1216 search results for Final Notice refers to breaches of PRIN 3 related.

881. FCA Final Notice 2013: Westwind UK Limited [pdf]

     Final notices Published: 21/06/2013 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.

882. Final notice 2016: Patrick Gray [pdf]

     Final notices Published: 09/06/2016 Last modified: 09/06/2016
     This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

883. Final Notice 2024: Arthur Jonathan Cobill [pdf]

     Final notices Published: 11/03/2024
     This Final Notice (Arthur Jonathan Cobill) refers to a breach of APER Statement of Principle 2 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We imposed a partial prohibition. It has been

884. Final notice 2024: Etemaad Money Transfere Ltd [pdf]

     Final notices Published: 18/04/2024
     This final notice refers to breaches of Payment Services Regulations 2017 related to a failure to meet the conditions of registration. We imposed a cancellation.

885. Final Notice 2015: Michael Banks [pdf]

     Final notices Published: 17/02/2015 Last modified: 17/02/2015
     This final notice refers to breaches of TC related to threshold conditions in the consumer credit sector. We imposed a refusal.

886. Final Notice 2023: Simon Richard Hughes [pdf]

     Final notices Published: 03/10/2023
     This Final Notice (Simon Richard Hughes) refers to breaches of APER 2, 6 and 7 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We imposed a partial prohibition and withdrawal. A payment of

887. Final notice 2016: Mr Paul White [pdf]

     Final notices Published: 12/04/2016 Last modified: 12/04/2016
     This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment bank sector. We imposed a prohibition and public censure.

888. Final Notice 2022: Thomas Henry Ward [pdf]

     Final notices Published: 17/05/2022
     This Final Notice (Thomas Henry Ward) refers to breaches of section 63A FSMA and FIT related to a lack of fitness/propriety in the investment adviser and pensions sector. We imposed a prohibition and financial penalty.

889. FCA Final Notice 2013: Ahmed Ali [pdf]

     Final notices Published: 08/08/2013 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.

890. FCA Final Notice 2014: Michael Bains [pdf]

     Final notices Published: 06/01/2014 Last modified: 07/04/2015
     This final notice refers to breaches of FIT related to lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.