Search results
Showing 1641 to 1650 of 1701 search results for This Final Notice refers to breaches of PRIN.
-
Final notice 2016: Peter Francis Johnson [pdf]
This final notice refers to breaches of APER 1, APER 4 and FIT related to failing to be open and co-operative, failing to act on information appropriately, a lack of fitness/propriety and mis-selling in the asset management sector. We imposed a -
Final Notice 2017: KWS Wealth Management Limited [pdf]
This final notice refers to breaches of the suitability Threshold Condition in the Investment Adviser sector. We imposed a cancellation. -
Final Notice 2024: James William Edward Lewis [pdf]
This Final Notice refers to a failure to act with due care, skill and integrity. We imposed a financial penalty and a prohibition order. -
Final Notice 2017: Mr John Chiesa [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 and withdrawal. -
Final notice 2016: Money Clinic Debt Management [pdf]
This final notice refers to breaches of COND related to threshold conditions in the consumer credit sector. We imposed a refusal. -
Final notice 2017: Eco Home Alternatives Limited [pdf]
This final notice refers to breaches of PRIN11 and COND relating to failing to be open and co-operative in the consumer credit sector. We imposed a refusal. -
Final Notice 2020: Asia Research and Capital Management Ltd [pdf]
This Final Notice refers to Asia Research and Capital Management’s failure to notify the FCA and disclose to the public its net short position in Premier Oil in breach of short selling disclosure rules. We have fined the firm £873,118. -
FCA Final Notice 2014: Al-Madina Travel & Finance 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. -
FCA Final Notice 2014: Knightsbridge Foreign Currency Exchange 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 2015: Steven Martin [pdf]
This Final Notice refers to breaches of APER 6 and MCOB (Mortgage Conduct of Business Rules) related to unfair treatment of customers in the sale and rent back sector. We imposed a public censure and redress.