Search results

Showing 151 to 160 of 1090 search results for This Final Notice refers to breaches of APER 1 and 7 related.

151. Final notice 2016: Quick Pay Forex Limited [pdf]

     Final notices Published: 27/05/2016 Last modified: 27/05/2016
     This final notice refers to breaches of PSR related to failing to be open and co-operative and payment services regulations in the payment services sector. We imposed a cancellation.

152. Final Notice 2023: Susan Mary Jones [pdf]

     Final notices Published: 27/11/2023
     This Final Notice refers to breaches of Principles for Business 2 related to the provision of unsuitable pension transfer advice in the pensions sector. We imposed a partial prohibition. A payment of £40,888 is being made to the FSCS.

153. Final Notice 2023: Al Rayan Bank PLC [pdf]

     Final notices Published: 11/01/2023
     This Final Notice refers to breaches of Principle 3 related to Financial Crime in the Retail Bank sector. We imposed a Financial Penalty.

154. Final Notice 2023: Christopher Vincent Summers [pdf]

     Final notices Published: 03/10/2023
     This Final Notice (Christopher Vincent Summers) refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

155. Final Notice 2013: Michael Coscia [pdf]

     Final notices Published: 03/07/2013 Last modified: 07/04/2015
     This final notice refers to breaches of MAR related to market abuse in the trading frims sector. We imposed a fine.

156. Final Notice 2015: Linda Carole Stuart [pdf]

     Final notices Published: 23/11/2015 Last modified: 23/11/2015
     This final notice refers to numerous breaches of CONC Chapter 8 and SYSC 9.1 related to inability to meet Threshold Condition 2D (appropriate non-financial resources) in the Consumer Credit: Debt Management sector. We imposed a refusal of Part 4A

157. Final notice 2016: Volpe Capital Management LLP [pdf]

     Final notices Published: 13/07/2016 Last modified: 21/07/2016
     This final notice refers to a breach of PRIN 11 related to failing to be open and co-operative in the investment adviser sector. We imposed a cancellation.

158. FCA Final Notice 2013: Mr Rahul Shah [pdf]

     Final notices Published: 13/11/2013 Last modified: 07/04/2015
     This final notice refers to breaches of MAR related to market abuse in the investment adviser sector. We imposed a fine and prohibition.

159. Final Notice 2023: Denis Lee Morgan [pdf]

     Final notices Published: 28/06/2023
     This Final Notice refers to breaches of FIT related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We imposed a prohibition and withdrawal of approvals.

160. Final Notice 2023: Geoffrey Edward Armin [pdf]

     Final notices Published: 03/11/2023
     This Final Notice refers to breaches of Statements of Principle 2 and 7 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We imposed a partial prohibition. A payment of £200,000 is being made to