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Showing 291 to 300 of 2098 search results for This Final Notice refers to breaches.
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FCA Final Notice 2014: David John Hobbs [pdf]
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. -
Final Notice 2017: R Taggar [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 2013: Praetor Capital LLP [pdf]
This Final Notice refers to breaches of PRIN 11 related to threshold conditions in the asset management sector. We imposed a cancellation. -
Final Notice: FC Group Limited [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 2016: Treviso Coffee Co Limited [pdf]
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. -
Final Notice 2016: Dale Robert Walker [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition. -
Final Notice 2017: David Samuel Watters [pdf]
This final notice refers to breaches of APER 6 related to a lack of competence in the pensions sector. -
FCA Final Notice 2014: City & Provincial and Mr Zaffar Hassan Tanweer [pdf]
This final notice refers to breaches of APER 1 and FIT related to mortgage fraud in the mortgages and consumer credit sector. We imposed a prohibition (full), fine, withdrawal and cancellation. -
Final Notice 2017: Alistair Charles Proctor [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation. -
Final Notice 2016: Bathesafely Limited [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.