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Showing 321 to 330 of 1090 search results for This Final Notice refers to breaches of APER 1 and 7 related.
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Final Notice 2018: Alok Dhanda [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 2016: Bradley Bailey [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: Mohammed Wajid [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 2014: Hamd Enterprises 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. -
Final Notice 2017: John Abbott [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 2015: Bank of Beirut (UK) Ltd [pdf]
This final notice refers to breaches of PRIN 11 related to financial crime risks and failure to be open and cooperative with the Authority. We imposed a fine and a restriction. -
Final notice 2016: Russell Blakey [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 2014: Paul Catterall [pdf]
This final notice refers to breaches of COND related to threshold conditions, and lack of fitness/propriety in the general insurance and protection sector. We imposed a refusal. -
FCA Final Notice 2014: Mohammed Hasan trading as Baba Money [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 2016: Mr Adam Harris trading as BM Motors [pdf]
This final notice refers to breaches of PRIN 11 and COND related to failing to be open and co-operative in the consumer credit sector. We imposed a refusal.