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Showing 391 to 400 of 2098 search results for This Final Notice refers to breaches.

391. Final Notice 2017: Paul John Moorefield [pdf]

     Final notices Published: 24/07/2017
     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.

392. Final Notice 2015: Nineveh Advisory Limited [pdf]

     Final notices Published: 13/01/2015 Last modified: 13/01/2015
     This final notice refers to breaches of Principle 11 related to threshold conditions in the investment adviser sector. We imposed a cancellation.

393. Final Notice 2017: XYZ Agencies Limited [pdf]

     Final notices Published: 21/02/2017
     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.

394. FCA Final Notice 2013: Mark Richard Faulkner [pdf]

     Final notices Published: 29/07/2013 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 OIVOP and a cancellation.

395. FCA Final Notice 2013: JLT Specialty Limited [pdf]

     Final notices Published: 19/12/2013 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 3 related to financial crime in the general insurance and protection sector. We imposed a fine.

396. Final Notice 2015: Paul Reynolds [pdf]

     Final notices Published: 20/05/2015 Last modified: 20/05/2015
     This final notice refers to breaches of APER 1 and FIT related to mis-selling and failing to be open and co-operative in the investment advisor sector. We imposed a fine and a prohibition.

397. FCA Final Notice 2013: ICAP Europe Ltd [pdf]

     Final notices Published: 25/09/2013 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 3 and PRIN 5 related to wholesale conduct, benchmarks, and culture/governance in the trading firms sector. We imposed a fine.

398. Final Notice 2016: Remote Audit Ltd [pdf]

     Final notices Published: 21/11/2016
     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.

399. FCA Final Notice 2013: Kevin Peter Wells [pdf]

     Final notices Published: 18/04/2013 Last modified: 07/04/2015
     This final notice refers to breaches of APER6, APER7, and FIT related to lack of fitness/propriety, client money/assets. We imposed a fine, a prohibition a public censure.

400. FCA Final Notice 2014: Derick Anthony Whewall [pdf]

     Final notices Published: 21/05/2014 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 11 related to threshold conditions in the general insurance and protection sector. We imposed a cancellation.