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Showing 441 to 450 of 1068 search results for This Final Notice refers to breaches of PSR related.

  1. FCA Final Notice 2014: Mark Ian Warner trading as Advanced Financial Management [pdf]

    Final notices Published: 29/05/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 11 related to threshold conditions in the investment advisor sector. We imposed an OIVOP and a cancellation.

  2. FCA Final Notice 2013: Xcap Securities PLC [pdf]

    Final notices Published: 11/06/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 3, PRIN 10 related to client money/assets in the trading firms sector. We imposed a fine.

  3. Final Notice 2017: Alan Norman Gregson [pdf]

    Final notices Published: 20/02/2017
    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.

  4. Final notice 2016: Dual Mortgage Brokers [pdf]

    Final notices Published: 29/06/2016 Last modified: 29/06/2016
    This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative and threshold conditions in the general insurance and protection sector. We imposed a cancellation.

  5. FCA Final Notice 2013: Douglas Jones [pdf]

    Final notices Published: 29/04/2013 Last modified: 19/05/2015
    This final notice refers to breaches of APER 6 and APER 1 related to lack of fitness/propriety in the mortgage and consumer credit sector. We imposed a full prohibition and £13,300 financial penalty, after discount.

  6. 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.

  7. Final Notice 2018: Ludu Energy Limited [pdf]

    Final notices Published: 01/02/2018
    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.

  8. 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.

  9. 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.

  10. Final notice 2016: EVS Trading Limited [pdf]

    Final notices Published: 27/01/2016 Last modified: 27/01/2016
    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.