Search results

Showing 111 to 120 of 2098 search results for This Final Notice refers to breaches.

111. FCA Final Notice 2014: The Royal Bank of Scotland Plc [pdf]

     Final notices Published: 12/11/2014 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 3 related to wholesale conduct and benchmarks in the investment bank sector. We imposed a fine.

112. FCA Final Notice 2013: Nasir Sarwar [pdf]

     Final notices Published: 03/10/2013 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.

113. Final Notice 2015: Magnus Michael Peterson [pdf]

     Final notices Published: 26/10/2015 Last modified: 26/10/2015
     This Final Notice refers to breaches of FIT related to lack of fitness/propriety in the investment advisor sector. We imposed a prohibition.

114. Final Notice 2015: Robin Choudhury [pdf]

     Final notices Published: 16/11/2015 Last modified: 16/11/2015
     This final notice refers to breaches of FIT related to lack of fitness/propriety in the general insurance and protection sector. We imposed a prohibition.

115. Final notice 2015: Fast Track Money Transfer (UK) Limited [pdf]

     Final notices Published: 13/11/2015 Last modified: 13/11/2015
     This final notice refers to breaches of the Payment Services Regulations 2009 (the PSRs), Regulation 6, related to failure to meet the conditions for authorisation. We imposed a refusal of the firm’s application for authorisation as a payment

116. Final notice 2016: James Kirkwood [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.

117. FCA Final Notice 2013: Abdul Majeed [pdf]

     Final notices Published: 05/08/2013 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 services sector. We imposed a cancellation.

118. FCA Final Notice 2014: Sultan Ahmed [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.

119. FCA Final Notice 2013: Fokrul Islam [pdf]

     Final notices Published: 11/11/2013 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.

120. FCA Final Notice 2013: Westwood Independent Financial Planners [pdf]

     Final notices Published: 17/12/2013 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 7, PRIN 9 and COBS related to mis-selling and unfair treatment of customers in the investment advisers and platforms sector. We imposed a fine.