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Showing 51 to 60 of 2098 search results for This Final Notice refers to breaches.
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Final Notice 2015: Alina Business & Financial Services Limited [pdf]
This final notice refers to breaches of PSR related to the Payment Services Regulations in the payment services sector. We imposed a cancellation. -
Final notice 2016: Gavin Breeze [pdf]
This final notice refers to breaches of s.118(2) and (3) Financial Services and Markets Act 2000 related to market abuse in the issuer sector. We imposed a fine, required restitution and a public censure. -
Final notice 2016: Pacific Continental Securities (UK) Limited (In Liquidation) [pdf]
This final notice refers to breaches of Prin 4, Cond and IPRU-INV related to threshold conditions in the investment advisor sector. We imposed a cancellation. -
FCA Final Notice 2013: John Douglas Leslie [pdf]
This final notice refers to breaches of APER 6 related to misselling, lack of fitness/propriety in the investment advisers and platforms sector. We imposed a fine and a prohibition order. -
Final notice 2016: BN1 Cars Ltd [pdf]
This final notice refers to breaches of COND and TC, failing to be open and co-operative. We imposed a refusal. -
FCA Final Notice 2014: Doditel Limited [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: Sesame Limited [pdf]
This final notice refers to breaches of PRIN 8 and COBS related to conflicts of interest in the life insurance and investment adviser sector. We imposed a fine. -
Final Notice 2015: Salam Transfer Limited [pdf]
This final notice refers to breaches of the Payment Services Regulations 2009 (the PSRs), Regulation 13, related to lack of fitness/propriety and failing to be open and cooperative with the Financial Conduct Authority. We imposed a refusal of the -
Final Notice 2015: Lee Bruce Stewart [pdf]
This final notice refers to breaches of FIT related to lack of fitness/propriety in the trading firms sector. We imposed a prohibition. -
FCA Final Notice 2013: Minona LLP [pdf]
This Final Notice refers to breaches of PRIN 11 related to threshold conditions in the asset management sector. We imposed a cancellation.