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Showing 421 to 430 of 3277 search results for This final notice refers.

421. 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.

422. Final Notice 2017: Motorhaus Ltd [pdf]

     Final notices Published: 06/11/2017 Last modified: 06/11/2017
     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.

423. Final Notice 2021: Roman Claims Limited [pdf]

     Final notices Published: 26/11/2021
     This final notice refers to a failure to satisfy the threshold conditions (COND) and to be open and cooperative with the regulator (PRIN 11) in the claims management sector. We refused the firm’s application for authorisation.

424. Final Notice 2015: Kweku Mawuli Adoboli [pdf]

     Final notices Published: 16/10/2015 Last modified: 16/10/2015
     This final notice refers to breaches of FIT related to lack of fitness/propriety in the investment bank sector. We imposed a prohibition.

425. Final Notice 2022: TSB Bank plc [pdf]

     Final notices Published: 20/12/2022
     This Final Notice refers to breaches of Prin 2 related to failing to exercise due skill, care and diligence and Prin 3 for not taking reasonable care in organising and controlling its affairs responsibly and effectively, with adequate risk

426. 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.

427. FCA Final Notice 2014: Go Transfer Limited [pdf]

     Final notices Published: 11/08/2014 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.

428. Final Notice 2018: David James Carter Mullins [pdf]

     Final notices Published: 25/07/2018
     This final notice refers to breaches of FIT related to lack of fitness/propriety and unfair treatment of customers in the consumer credit sector. We imposed a prohibition.

429. FCA Final Notice 2014: Shahid Sultan Babar [pdf]

     Final notices Published: 11/07/2014 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 systems sector. We imposed a cancellation.

430. Final Notice 2015: Craig McNeil [pdf]

     Final notices Published: 22/09/2015 Last modified: 29/09/2015
     This final notice refers to breaches of APER 4 and APER 6, FIT, failing to be open and co-operative, lack of fitness/propriety and failing to act on information appropriately in the asset management sector. We imposed a fine and prohibition.