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Showing 941 to 950 of 1210 search results for This Final Notice refers to breaches of PRIN 3 related.

  1. Final Notice 2015: Mothahir Miah [pdf]

    Final notices Published: 17/11/2015 Last modified: 17/11/2015
    This final notice refers to breaches of APER 1 and FIT related to lack of fitness/propriety, unfair treatment of customers and conflicts of interest in the asset management sector. We imposed a fine and a prohibition.

  2. Final notice 2016: PDHL Limited [pdf]

    Final notices Published: 10/03/2016 Last modified: 10/03/2016
    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

  3. FCA Final Notice 2013: Sovereign Worldwide Limited [pdf]

    Final notices Published: 04/07/2013 Last modified: 07/04/2015
    This final notice refers to breaches of COND related to threshold conditions and mortgage fraud in the investment advisers and platforms sector. We imposed a withdrawal.

  4. Final Notice 2018: Alex Hope [pdf]

    Final notices Published: 07/03/2018
    This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment sector. We imposed a prohibition.

  5. Final Notice 2015: David Caplin [pdf]

    Final notices Published: 22/01/2015 Last modified: 22/01/2015
    This final notice refers to breaches of APER 7 and FIT, related to wholesale conduct, benchmarks, culture/governance, lack of fitness and propriety in the trading firms sector. We imposed a fine and a prohibition.

  6. Final Notice 2019: David John Mills [pdf]

    Final notices Published: 21/06/2019
    This final notice refers to breaches of FIT related to a lack of fitness/propriety. We imposed a prohibition.

  7. Final Notice 2015: Cashsense Limited [pdf]

    Final notices Published: 10/06/2015 Last modified: 10/06/2015
    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: Raj Von Badlo [pdf]

    Final notices Published: 20/02/2017
    This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

  9. Final Notice 2015: Mark Cleaver [pdf]

    Final notices Published: 20/08/2015 Last modified: 03/09/2015
    This final notice refers to breaches of COND, related to threshold conditions and failing to be open and co-operative in the general insurance intermediary sector. We imposed a cancellation.

  10. Final Notice 2015: Tariq Rashid [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.