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Showing 951 to 960 of 1216 search results for Final Notice refers to breaches of PRIN 3 related.
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Final Notice 2015: Cashsense Limited [pdf]
This final notice refers to breaches of PSR related to Payment Services Regulations and failing to be open and co-operative in the payment services sector. We imposed a cancellation. -
Final Notice 2019: David John Mills [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety. We imposed a prohibition. -
Final Notice 2017: Raj Von Badlo [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition. -
FCA Final Notice 2013: Khyber Travel & Exchange Limited [pdf]
This final notice refers to breaches of PSR related to lack of fitness, propriety, failing to be open and co-operative in the payment services sector. We imposed a refusal. -
Final Notice 2016: Ross Tony Peters [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition. -
Final Notice 2016: Aaron Lee Petrou [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition. -
Final Notice 2015: Stephen Allen [pdf]
This final notice refers to breaches of FIT related to lack of fitness and propriety and failing to be open and co-operative in the general insurance and protection sector. We imposed a prohibition. -
FCA Final Notice 2014: Abdul Razzaq [pdf]
This final notice refers to breaches of FIT related to financial crime, client money/assets, failing to be open and co-operative, and lack of fitness/propriety in the mortgages sector. We imposed a prohibition. -
FCA Final Notice 2013: Christopher Willford [pdf]
This final notice refers to breaches of APER 6 related to failing to act on information appropriately in the retail banks sector. We imposed a fine. -
Final Notice 2015: Jeremy Kraft [pdf]
This final notice refers to breaches of APER 6, APER 7 and FIT, related to wholesale conduct, benchmarks, culture/governance, lack of fitness and propriety in the trading firms sector. We imposed a fine and a prohibition.