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Showing 911 to 920 of 1216 search results for Final Notice refers to breaches of PRIN 3 related.

  1. Final Notice 2024: Paul Ulliott [pdf]

    Final notices Published: 15/01/2024
    This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

  2. Final Notice 2024: Robert Harriss [pdf]

    Final notices Published: 24/05/2024
    This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the credit broker sector. We imposed a prohibition.

  3. Final notice 2016: Premier Dental Limited [pdf]

    Final notices Published: 03/03/2016 Last modified: 03/03/2016
    This final notice refers to breaches of Principle 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  4. Final notice 2016: Nasser Yusuf trading as Advance Money Management [pdf]

    Final notices Published: 09/05/2016 Last modified: 09/05/2016
    This final notice refers to breaches of COND related to Threshold conditions in the consumer credit sector. We imposed a refusal.

  5. FCA Final Notice 2014: UK2PK Limited [pdf]

    Final notices Published: 14/08/2014 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.

  6. FCA Final Notice 2013: UK Paymaster Limited [pdf]

    Final notices Published: 05/12/2013 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.

  7. Final Notice: Kathryn Clark [pdf]

    Final notices Published: 25/10/2016
    This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition and withdrawal.

  8. Final Notice 2015: Rogerio Pinto [pdf]

    Final notices Published: 12/02/2015 Last modified: 02/04/2015
    This final notice refers to breaches of FIT related to lack of fitness and propriety in the trading firm sector. We imposed a refusal.

  9. FCA Final Notice 2013: Omar Sohail Zaman (trading as Worldwide Money Exchange) [pdf]

    Final notices Published: 07/08/2013 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 2014: Mohammed Ayoob [pdf]

    Final notices Published: 20/06/2014 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.
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