Filter results
Filter by document type
Filter by year
Sort by:

Search results

Showing 391 to 400 of 1090 search results for This Final Notice refers to breaches of APER 1 and 7 related.

  1. Final Notice 2020: Jason Taylor [pdf]

    Final notices Published: 04/06/2020
    This final notice (Jason Taylor) refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

  2. FCA Final Notice 2014: World Link UK Limited [pdf]

    Final notices Published: 19/05/2014 Last modified: 07/04/2015
    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.

  3. Final Notice 2015: Andrew Paul Condren [pdf]

    Final notices Published: 15/07/2015 Last modified: 15/07/2015
    This final notice refers to breaches of FSMA related to no regulated activities for 12 months in the investment and home finance sector. We imposed a cancellation.

  4. Final Notice 2017: Adam Lancelot [pdf]

    Final notices Published: 20/09/2017
    This final notice refers to breaches of FIT related to lack of fitness/propriety in the Investment Adviser sector. We imposed a prohibition.

  5. Final Notice: Luke Andrew Mills [pdf]

    Final notices Published: 13/10/2016
    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.

  6. FCA Final Notice 2013: Porta Verde Financial Services Limited [pdf]

    Final notices Published: 24/10/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 3, PRIN 6 and PRIN 7 related to appointed representatives, and unfair treatment of customers in the general insurance and protection sector. We imposed a fine.

  7. Final Notice 2015: Muhammad Ashraf [pdf]

    Final notices Published: 17/08/2015 Last modified: 17/08/2015
    This final notice refers to breaches of PSR, related to payment services regulations and failing to be open and co-operative in the payment services sector. We imposed a cancellation.

  8. Final Notice 2017: Lukhvir Thind [pdf]

    Final notices Published: 07/04/2017
    This final notice refers to breaches of s.118(7) Financial Services and Markets Act 2000 and FIT related to market abuse, a lack of fitness/propriety and client money/assets in the trading firm sector. We imposed a fine and prohibition.

  9. Final Notice 2017: R Taggar [pdf]

    Final notices Published: 18/08/2017
    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.

  10. Final Notice 2018: Polmaise Community Credit Union Limited [pdf]

    Final notices Published: 29/03/2018
    This final notice refers to breaches of Principle 11 related to failing to be open and co-operative in the credit union sector. We imposed a cancellation.