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Showing 1001 to 1010 of 1210 search results for This Final Notice refers to breaches of PRIN 3 related.

1001. Final Notice 2015: Michael John Allin [pdf]

      Final notices Published: 05/03/2015 Last modified: 05/03/2015
      This final notice refers to breaches of APER 4 related to failure to be open and cooperative with the Authority. We imposed a fine.

1002. FCA Final Notice 2014: Euro Remittance Limited [pdf]

      Final notices Published: 24/09/2014 Last modified: 07/04/2015
      This final notice refers to breaches of PSR related to the Payment Services Regulations in the payment services sector. We imposed a cancellation.

1003. FCA Final Notice 2014: Michael Stanley Hirst [pdf]

      Final notices Published: 12/12/2014 Last modified: 12/12/2014
      This final notice refers to breaches of FIT related to lack of fitness/propriety in the investment advisor sector. We imposed a prohibition.

1004. Final Notice 2018: Canara Bank [pdf]

      Final notices Published: 06/06/2018
      This FCA Final Notice (Canara Bank) refers to breaches of Principle 3 and SYSC related to financial crime in the retail bank sector. We imposed a fine and restriction.

1005. Final Notice 2023: Ray Alan Davis [pdf]

      Final notices Published: 15/11/2023
      This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the General Insurance and Protection sector. We imposed a prohibition.

1006. Final Notice 2018: Arif Hussein [pdf]

      Final notices Published: 23/08/2018
      This final notice refers to breaches of FIT related to lack of fitness/propriety and benchmarks in the investment bank sector. We imposed a prohibition.

1007. FCA Final Notice 2014: Managed Debt Services Ltd [pdf]

      Final notices Published: 26/07/2014 Last modified: 07/04/2015
      This final notice refers to breaches of TC and CONC related to threshold conditions in the consumer credit sector. We imposed a refusal.

1008. FCA Final Notice 2014: City & Provincial and Mr Zaffar Hassan Tanweer [pdf]

      Final notices Published: 13/03/2014 Last modified: 07/04/2015
      This final notice refers to breaches of APER 1 and FIT related to mortgage fraud in the mortgages and consumer credit sector. We imposed a prohibition (full), fine, withdrawal and cancellation.

1009. Final Notice 2018: Christian Bittar [pdf]

      Final notices Published: 14/09/2018
      This final notice refers to knowing concern in breaches of Principle 5 related to benchmark submissions. We imposed a prohibition.

1010. Final Notice 2017: Nazia Naweed Shah [pdf]

      Final notices Published: 14/03/2017
      This final notice refers to breaches of PSR related to failing to be open and cooperative in the payment services sector. We imposed a cancellation.