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Showing 1411 to 1420 of 6304 search results for This final notice.
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FCA Final Notice 2014: Mega Advice Services Ltd [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 2019: Alison Mary Mills [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety. We imposed a prohibition. -
Final Notice 2020: Hub Capital Limited (formerly known as Mex (Europe) Limited) [pdf]
This final notice refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the Asset Management sector and Investment Advisory sector. We imposed a cancellation. -
FCA Final Notice 2013: Sovereign Financial Solutions Limited [pdf]
This Final Notice refers to breaches of PRIN 11 related to threshold conditions in the general insurance and protection sector. We imposed a cancellation. -
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 -
FCA Final Notice 2013: UK Money Express Limited [pdf]
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. -
Final Notice 2021: Matthew Andrew Creed [pdf]
This Final Notice (Matthew Andrew Creed) refers to breaches of FIT by a financial adviser. We imposed a prohibition -
Final notice 2015: Threadneedle Asset Management Limited [pdf]
This final notice concerns an asset management sector firm’s breach of PRIN 3 for failing to put in place adequate controls in the fixed income area of its front office and PRIN 11 for providing inaccurate information to the regulator and for -
Final Notice 2019: ATA Trading Limited [pdf]
This final notice (ATA Trading Limited) refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the consumer credit sector. We imposed a cancellation. -
Final Notice 2020: The Coffee Counter Ltd [pdf]
This final notice (The Coffee Counter Ltd) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.