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Showing 411 to 420 of 1331 search results for This Final Notice refers to breaches of FIT.
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Final Notice 2017: Brian Richards [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: Vasavan Thambhiah [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 2019: Eric Ka Chi Siu [pdf]
This final notice (Eric Ka Chi Siu) refers to breaches of the Listing Principles and Disclosure Rules and Transparency Rules in the issuer sector. We imposed a financial penalty. -
Final Notice 2017: Mitchell Barney [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: Debt Plan UK Ltd [pdf]
This final notice refers to breaches of TC and CONC related to threshold conditions in the consumer credit sector. We imposed a refusal. -
Final notice 2016: PDHL Limited [pdf]
This final notice refers to numerous breaches of CONC Chapter 8 related to an inability to meet Threshold Condition 2D (appropriate non-financial resources) and 2E (Suitability) in the Consumer Credit: Debt Management sector. We imposed a refusal of -
FCA Final Notice 2014: David Welsby [pdf]
This final notice refers to breaches of APER 1 related to client money/assets in the asset management sector. We imposed a fine, withdrawal and a prohibition. -
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. -
FCA Final Notice 2014: Financial Limited [pdf]
This final notice refers to breaches of PRIN 3 and SYSC related to culture/goverence in the investment adviser sector. We imposed a public censure, suspension, and restriction.