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Showing 11 to 20 of 3277 search results for This final notice refers.
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Final Notice 2013: Michael Coscia [pdf]
This final notice refers to breaches of MAR related to market abuse in the trading frims sector. We imposed a fine. -
Final notice 2016: Alan Whittington [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open -
Final Notice 2024: Paydog Ltd [pdf]
This Final Notice refers to a failure to carry on payment service activities. We imposed a cancellation. -
Final Notice 2024: Kulvir Virk [pdf]
This Final Notice refers to breaches of PRIN 1 and PRIN 6 related to a failure to act with integrity and a failure to exercise due care, skill and diligence in the pensions sector. We imposed a financial penalty and a prohibition order. -
FCA Final Notice 2015: Tiuta Plc [pdf]
This Final Notice refers to breaches of PRIN 4, COND, MIPRU and IPRU-INV related to threshold conditions in the investment adviser sector. We imposed a cancellation. -
Final notice 2016: R Sadler [pdf]
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. -
Final notice 2015: AR Capital [pdf]
This final notice refers to an applicant for Part 4A permission not satisfying the FCA’s appropriate resources and suitability threshold conditions. We refused the application. -
2021 fines
This page contains information about enforcement fines published during the calendar year ending 2021. -
Final notice 2016: Pacific Continental Securities (UK) Limited (In Liquidation) [pdf]
This final notice refers to breaches of Prin 4, Cond and IPRU-INV related to threshold conditions in the investment advisor sector. We imposed a cancellation. -
Final notice 2016: Naimat Gul [pdf]
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.