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Showing 221 to 230 of 1090 search results for This Final Notice refers to breaches of APER 1 and 7 related.
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Final Notice 2017: Michael Fern [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: Daniel Peter Terrence Forsyth [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: Stephen Duffy [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: 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. -
FCA Final Notice 2013: Norest Chari [pdf]
This Final Notice refers to breaches of PSR related to failing to be open and co-operative in the payment services sector. We imposed a cancellation. -
FCA Final Notice 2013: Nasir Sarwar [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. -
Final Notice 2015: John Joseph Financial Services Limited [pdf]
This final notice refers to breaches of PRIN 9, SYSC, COB and COBS related to mis-selling in the investment adviser sector. We imposed a fine. -
Final notice 2016: Nasser Yusuf trading as Advance Money Management [pdf]
This final notice refers to breaches of COND related to Threshold conditions in the consumer credit sector. We imposed a refusal. -
FCA Final Notice 2013: Abdul Majeed [pdf]
This Final Notice refers to breaches of PSR related to failing to be open and co-operative in the payment services sector. We imposed a cancellation. -
FCA Final Notice 2014: Sultan Ahmed [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.