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Showing 21 to 30 of 2125 search results for This final notice refers to breaches.

  1. 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.

  2. 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.

  3. Final Notice 2022: BGC Brokers LP, GFI Securities Limited and GFI Brokers Limited [pdf]

    Final notices Published: 08/12/2022
    This Final Notice refers to breaches of Principle 3 of the FCA’s Principles for Businesses and Article 16(2) of the Market Abuse Regulation related to market protection and wholesale conduct in the Trading Firm sector. We imposed a financial

  4. 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.

  5. Final notice 2016: Gavin Breeze [pdf]

    Final notices Published: 15/07/2016 Last modified: 15/07/2016
    This final notice refers to breaches of s.118(2) and (3) Financial Services and Markets Act 2000 related to market abuse in the issuer sector. We imposed a fine, required restitution and a public censure.

  6. Final notice 2016: Quick Pay Forex Limited [pdf]

    Final notices Published: 27/05/2016 Last modified: 27/05/2016
    This final notice refers to breaches of PSR related to failing to be open and co-operative and payment services regulations in the payment services sector. We imposed a cancellation.

  7. Final Notice 2017: Adrian Whitehurst [pdf]

    Final notices Published: 23/10/2017
    This final notice refers to breaches of FIT related to client money/assets and lack of fitness/propriety in the consumer credit sector. We imposed a prohibition. Final Notice: Adrian Whitehurst Conduct: Client money/assets; Lack of fitness/propriety

  8. 2021 fines

    News stories Published: 04/03/2021 Last modified: 17/12/2021
    This page contains information about enforcement fines published during the calendar year ending 2021.

  9. Final Notice 2015: Salam Transfer Limited [pdf]

    Final notices Published: 13/11/2015 Last modified: 13/11/2015
    This final notice refers to breaches of the Payment Services Regulations 2009 (the PSRs), Regulation 13, related to lack of fitness/propriety and failing to be open and cooperative with the Financial Conduct Authority. We imposed a refusal of the

  10. Final Notice 2015: Neil Moir trading as ‘Readymoney’ [pdf]

    Final notices Published: 26/08/2015 Last modified: 26/08/2015
    This final notice refers to breaches of COND and PRIN 11 related to threshold conditions, failing to be open and co-operative and lack of fitness/propriety in the consumer credit sector. We imposed a refusal.
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