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Showing 211 to 220 of 2098 search results for This Final Notice refers to breaches.
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Final Notice 2017: Mitchell Barney [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation. -
FCA Final Notice 2014: Debt Plan UK Ltd [pdf]
This final notice refers to breaches of TC and CONC related to threshold conditions in the consumer credit sector. We imposed a refusal. -
FCA Final Notice 2014: David Welsby [pdf]
This final notice refers to breaches of APER 1 related to client money/assets in the asset management sector. We imposed a fine, withdrawal and a prohibition. -
FCA Final Notice 2014: Paul Catterall [pdf]
This final notice refers to breaches of COND related to threshold conditions, and lack of fitness/propriety in the general insurance and protection sector. We imposed a refusal. -
FCA Final Notice 2014: Mohammed Hasan trading as Baba Money [pdf]
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. -
FCA Final Notice 2014: Financial Limited [pdf]
This final notice refers to breaches of PRIN 3 and SYSC related to culture/goverence in the investment adviser sector. We imposed a public censure, suspension, and restriction. -
Final Notice 2015: Craig McNeil [pdf]
This final notice refers to breaches of APER 4 and APER 6, FIT, failing to be open and co-operative, lack of fitness/propriety and failing to act on information appropriately in the asset management sector. We imposed a fine and prohibition. -
Final Notice 2017: Muhammad Abdullah [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation. -
Final Notice 2017: John Abbott [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation. -
Final Notice 2015: Mothahir Miah [pdf]
This final notice refers to breaches of APER 1 and FIT related to lack of fitness/propriety, unfair treatment of customers and conflicts of interest in the asset management sector. We imposed a fine and a prohibition.