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Showing 601 to 610 of 3278 search results for This Final Notice refers.

  1. Final Notice 2016: Bangla Express Limited [pdf]

    Final notices Published: 24/11/2016
    This final notice refers to breaches of PSR related to failing to be open and co-operative and payment services regulations in the payment services sector. We imposed a cancellation.

  2. Final Notice 2015: Peter Charles Legerton [pdf]

    Final notices Published: 20/03/2015 Last modified: 20/03/2015
    This final notice refers to breaches of APER 7 and FIT related to mis-selling, lack of fitness/propriety, and conflicts of interests in the investment adviser sector. We imposed a public censure, withdrawal, and a prohibition.

  3. Final notice 2015: Ashley Rudland [pdf]

    Final notices Published: 12/11/2015 Last modified: 12/11/2015
    This final notice refers to a candidate for approval to perform controlled functions not satisfying the competence criteria of the FCA’s Fit and Proper Person Test. We refused the application.

  4. FCA Final Notice 2014: Codeway Finance 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.

  5. Final Notice 2018: Khalsa (Bradford) Credit Union Limited [pdf]

    Final notices Published: 29/03/2018
    This final notice refers to a cancellation of permission pursuant to exercising powers under section 55J of FSMA in the credit union sector.

  6. Final Notice 2024: Citigroup Global Markets Limited [pdf]

    Final notices Published: 22/05/2024
    This Final Notice refers to breaches of PRIN 2 and 3, and MAR 7A 3.2 related to wholesale conduct in the investment bank sector. We imposed a fine.

  7. FCA Final Notice 2014: John Christopher Hughes [pdf]

    Final notices Published: 29/04/2014 Last modified: 07/04/2015
    This final notice refers to breaches of FIT related to market protection, wholesale conduct, and lack of fitness/propriety in the investment bank. We imposed a prohibition.

  8. FCA Final Notice 2013: Leader Transfer Limited [pdf]

    Final notices Published: 04/11/2013 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.

  9. Final Notice 2018: Col Smith Car Sales [pdf]

    Final notices Published: 26/06/2018
    This final

  10. FCA Final Notice 2014: David John Hewitt trading as Bexley Insurance Centre [pdf]

    Final notices Published: 12/08/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 11 related to threshold conditions in the general insurance, intermediary sector. We imposed a cancellation.
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