Search results

Showing 261 to 270 of 2125 search results for This final notice refers to breaches.

261. Final Notice 2017: R Taggar [pdf]

     Final notices Published: 18/08/2017
     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.

262. Final Notice 2017: Eastern Union Remittance and Exchange Limited [pdf]

     Final notices Published: 30/08/2017
     This final notice refers to breaches of Principle 11 related to failing to be open and

263. FCA Final Notice 2014: World Link UK Limited [pdf]

     Final notices Published: 19/05/2014 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.

264. Final notice 2015: Simon Mark Silva-Peake [pdf]

     Final notices Published: 16/12/2015 Last modified: 16/12/2015
     This final notice refers to breaches of FIT related to a lack of fitness/propriety, client money/assets and unfair treatment of customers in the investment adviser sector. We imposed a prohibition.

265. Final Notice 2024: Global 4X Limited [pdf]

     Final notices Published: 13/06/2024
     This final notice refers to breaches of Payment Services Regulations 2017 related to a failure to meet the conditions of authorisation. We imposed a cancellation.

266. FCA Final Notice 2013: Sovereign Worldwide Limited [pdf]

     Final notices Published: 04/07/2013 Last modified: 07/04/2015
     This final notice refers to breaches of COND related to threshold conditions and mortgage fraud in the investment advisers and platforms sector. We imposed a withdrawal.

267. Final Notice 2022: Paul Seakens [pdf]

     Final notices Published: 14/01/2022
     This Final Notice refers to breaches of FIT by an investment platform operator. We imposed a prohibition.

268. FCA Final Notice 2014: Investments Limited [pdf]

     Final notices Published: 23/07/2014 Last modified: 13/03/2015
     This final notice refers to breaches of PRIN 3 and SYSC related to culture/goverence in the investment adviser sector. We imposed a public censure, suspension, and restriction.

269. Final Notice 2015: Barclays Bank PLC - November 2015 [pdf]

     Final notices Published: 26/11/2015 Last modified: 26/11/2015
     This final notice refers to breaches of PRIN 2 related to financial crime failings. We imposed a fine.

270. Final Notice 2018: Alok Dhanda [pdf]

     Final notices Published: 16/01/2018
     This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.