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Showing 981 to 990 of 1216 search results for Final Notice refers to breaches of PRIN 3 related.

981. FCA Final Notice 2013: Michael Conway [pdf]

     Final notices Published: 17/12/2013 Last modified: 07/04/2015
     This final notice refers to breaches of FIT related to lack of fitness/propriety in the wealth management and private banking, investment advisers and platforms sector. We imposed a prohibition.

982. Final Notice 2015: United Forex Limited [pdf]

     Final notices Published: 05/08/2015 Last modified: 05/08/2015
     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.

983. Final Notice 2020: Jason Taylor [pdf]

     Final notices Published: 04/06/2020
     This final notice (Jason Taylor) refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

984. FCA Final Notice 2014: David John Hobbs [pdf]

     Final notices Published: 25/02/2014 Last modified: 07/04/2015
     This final notice refers to breaches of FIT related to lack of fitness/propriety in the building societies and investment banks sector. We imposed a prohibition.

985. Final Notice 2016: Adam Philip Hawkins [pdf]

     Final notices Published: 01/11/2016
     This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

986. Final Notice 2017: Adam Lancelot [pdf]

     Final notices Published: 20/09/2017
     This final notice refers to breaches of FIT related to lack of fitness/propriety in the Investment Adviser sector. We imposed a prohibition.

987. Final Notice 2015: Kweku Mawuli Adoboli [pdf]

     Final notices Published: 16/10/2015 Last modified: 16/10/2015
     This final notice refers to breaches of FIT related to lack of fitness/propriety in the investment bank sector. We imposed a prohibition.

988. Final notice 2016: Treviso Coffee Co 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.

989. FCA Final Notice 2014: Drain Claim Limited [pdf]

     Final notices Published: 07/01/2014 Last modified: 07/04/2015
     This final notice refers to breaches of TC related to threshold conditions in the general insurance and protection sector. We imposed a cancellation.

990. Final Notice 2015: Andrew Paul Condren [pdf]

     Final notices Published: 15/07/2015 Last modified: 15/07/2015
     This final notice refers to breaches of FSMA related to no regulated activities for 12 months in the investment and home finance sector. We imposed a cancellation.