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Showing 21 to 30 of 3277 search results for This final notice refers.

  1. FCA Final Notice 2013: Mr Rahul Shah [pdf]

    Final notices Published: 13/11/2013 Last modified: 07/04/2015
    This final notice refers to breaches of MAR related to market abuse in the investment adviser sector. We imposed a fine and prohibition.

  2. Final Notice 2015: Alina Business & Financial Services Limited [pdf]

    Final notices Published: 14/01/2015 Last modified: 14/01/2015
    This final notice refers to breaches of PSR related to the Payment Services Regulations in the payment services sector. We imposed a cancellation.

  3. Final notice 2016: Lester Evans [pdf]

    Final notices Published: 15/04/2016 Last modified: 15/04/2016
    This final notice refers to breaches of PRIN 11 and COND related to failing to be open and cooperative and threshold conditions in the general insurance and protection sector. We imposed a cancellation.

  4. FCA Final Notice 2013: Policy Administration Services Limited [pdf]

    Final notices Published: 03/07/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 3 and 6 related to complaints-handling, and the unfair treatment of customers in the general insurance and protection sector. We imposed a fine.

  5. Final notice 2016: Ashbank Cars [pdf]

    Final notices Published: 02/06/2016 Last modified: 02/06/2016
    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.

  6. Final Notice 2024: Hadyn Gamblin [pdf]

    Final notices Published: 01/03/2024
    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 consumer credit sector. We imposed a cancellation.

  7. Final notice 2016: Mark Thorogood [pdf]

    Final notices Published: 12/01/2016 Last modified: 12/01/2016
    This final notice refers to breaches of FIT related to a lack of fitness/propriety and mortgage fraud in the mortgages sector. We imposed a refusal.

  8. FCA Final Notice 2013: John Douglas Leslie [pdf]

    Final notices Published: 26/07/2013 Last modified: 07/04/2015
    This final notice refers to breaches of APER 6 related to misselling, lack of fitness/propriety in the investment advisers and platforms sector. We imposed a fine and a prohibition order.

  9. FCA Final Notice 2013: IBBL Exchange UK Limited (formerly Jalalabad Money Transfer & Travels Limited) [pdf]

    Final notices Published: 18/07/2013 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.

  10. FCA Final Notice 2014: Sesame Limited [pdf]

    Final notices Published: 29/10/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 8 and COBS related to conflicts of interest in the life insurance and investment adviser sector. We imposed a fine.
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