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Showing 1011 to 1020 of 1210 search results for This Final Notice refers to breaches of PRIN 3 related.

  1. FCA Final Notice 2013: John Patrick Morris [pdf]

    Final notices Published: 15/08/2013 Last modified: 07/04/2015
    This final notice refers to breaches of TC related to threshold conditions in the general insurance and protection sector. We imposed a OIVOP and cancellation.

  2. FCA Final Notice 2014: Leanne Marie Nicholson [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.

  3. Final notice 2015: Fast Track Money Transfer (UK) Limited [pdf]

    Final notices Published: 13/11/2015 Last modified: 13/11/2015
    This final notice refers to breaches of the Payment Services Regulations 2009 (the PSRs), Regulation 6, related to failure to meet the conditions for authorisation. We imposed a refusal of the firm’s application for authorisation as a payment

  4. Final Notice 2015: Nineveh Advisory Limited [pdf]

    Final notices Published: 13/01/2015 Last modified: 13/01/2015
    This final notice refers to breaches of Principle 11 related to threshold conditions in the investment adviser sector. We imposed a cancellation.

  5. Final Notice 2017: Tejoori Limited [pdf]

    Final notices Published: 14/12/2017
    This final notice refers to breaches of the Market Abuse Regulation related to market abuse in the issuer sector. We imposed a fine.

  6. FCA Final Notice 2014: Shahid Sultan Babar [pdf]

    Final notices Published: 11/07/2014 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.

  7. Final notice 2016: Peter Charles Bottomley [pdf]

    Final notices Published: 08/03/2016 Last modified: 08/03/2016
    This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

  8. FCA Final Notice 2014: Go Transfer Limited [pdf]

    Final notices Published: 11/08/2014 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 services sector. We imposed a cancellation.

  9. Final Notice 2024: Global 4X Limited [pdf]

    Final notices Published: 13/06/2024
    This final notice refers to breaches of Payment Services Regulations 2017 related to a failure to meet the conditions of authorisation. We imposed a cancellation.

  10. Final Notice 2022: Andrew Mark Thomas Page [pdf]

    Final notices Published: 17/05/2022
    This Final Notice (Andrew Mark Thomas Page) refers to breaches of APER 1 and FIT related to a lack of fitness/propriety, mis-selling and failing to be open and co-operative in the investment adviser and pensions sector. We imposed a prohibition and