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Showing 991 to 1000 of 1216 search results for Final Notice refers to breaches of PRIN 3 related.

991. Final Notice 2015: M8’s Rates Loans Limited [pdf]

     Final notices Published: 14/08/2015 Last modified: 14/08/2015
     This final notice refers to breaches of COND and CONC, related to threshold conditions in the consumer credit sector. We imposed a refusal.

992. FCA Final Notice 2013: Jeffrey Simon Bennett [pdf]

     Final notices Published: 12/07/2013 Last modified: 19/05/2015
     This final notice refers to breaches of APER 6 related to misselling and lack of fitness/propriety in the investment advisers and platforms sector. We imposed a fine, a prohibition order and withdrawal of approval.

993. FCA Final Notice 2013: Richards Wines and Levy Limited [pdf]

     Final notices Published: 06/08/2013 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.

994. Final Notice 2018: Russell Taylor [pdf]

     Final notices Published: 14/11/2018
     This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

995. Final notice 2016: Good Motors 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.

996. Final Notice 2018: John McCullagh [pdf]

     Final notices Published: 03/10/2018
     This final notice refers to breaches of FIT related to a lack of fitness/propriety in the consumer credit sector. We imposed a prohibition.

997. FCA Final Notice 2013: Ali Parvez Shaikh [pdf]

     Final notices Published: 01/10/2013 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.

998. Final Notice 2015: Paul Christopher Ridden [pdf]

     Final notices Published: 18/02/2015 Last modified: 18/02/2015
     This final notice refers to breaches of FIT, related to threshold conditions in the consumer credit sector. We imposed a cancellation.

999. Final notice 2016: Elizabeth Anne Parry [pdf]

     Final notices Published: 01/09/2016
     This final notice refers to breaches of APER 1 and FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a fine and prohibition.

1000. Final Notice 2018: Canara Bank [pdf]

      Final notices Published: 06/06/2018
      This FCA Final Notice (Canara Bank) refers to breaches of Principle 3 and SYSC related to financial crime in the retail bank sector. We imposed a fine and restriction.