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Showing 931 to 940 of 1216 search results for Final Notice refers to breaches of PRIN 3 related.

931. FCA Final Notice 2013: Manna Sha'Meyn Oriental Limited [pdf]

     Final notices Published: 29/10/2013 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.

932. Final Notice 2015: Lee Bruce Stewart [pdf]

     Final notices Published: 30/07/2015 Last modified: 30/07/2015
     This final notice refers to breaches of FIT related to lack of fitness/propriety in the trading firms sector. We imposed a prohibition.

933. FCA Final Notice 2013: John Douglas Leslie [pdf]

     Final notices Published: 26/07/2013 Last modified: 07/04/2015
     This final notice refers to breaches of APER 6 related to misselling, lack of fitness/propriety in the investment advisers and platforms sector. We imposed a fine and a prohibition order.

934. FCA Final Notice 2014: Vasavan Thambhiah [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.

935. FCA Final Notice 2014: David Welsby [pdf]

     Final notices Published: 09/10/2014 Last modified: 07/04/2015
     This final notice refers to breaches of APER 1 related to client money/assets in the asset management sector. We imposed a fine, withdrawal and a prohibition.

936. FCA Final Notice 2013: Mr Andrew Jeffery [pdf]

     Final notices Published: 23/08/2013 Last modified: 07/04/2015
     This final notice refers to breaches of APER1 and APER4 related to insurance fraud in the general insurance and protection sector. We imposed a fine and a prohibition order.

937. FCA Final Notice 2014: Debt Plan UK Ltd [pdf]

     Final notices Published: 26/07/2014 Last modified: 07/04/2015
     This final notice refers to breaches of TC and CONC related to threshold conditions in the consumer credit sector. We imposed a refusal.

938. FCA Final Notice 2013: Churchill Securities (UK) Limited [pdf]

     Final notices Published: 25/07/2013 Last modified: 07/04/2015
     This Final Notice refers to breaches of TC related to threshold conditions in the investment advisors & platforms sector. We imposed a cancellation.

939. FCA Final Notice 2014: Paul Catterall [pdf]

     Final notices Published: 19/06/2014 Last modified: 07/04/2015
     This final notice refers to breaches of COND related to threshold conditions, and lack of fitness/propriety in the general insurance and protection sector. We imposed a refusal.

940. FCA Final Notice 2014: Mohammed Hasan trading as Baba Money [pdf]

     Final notices Published: 02/06/2014 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.