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Showing 331 to 340 of 2125 search results for This final notice refers to breaches.

331. FCA Final Notice 2014: Ian Charles Hannam [pdf]

     Final notices Published: 22/07/2014 Last modified: 07/04/2015
     This final notice refers to breaches of MAR related to market abuse in the investment banks sector. We imposed a fine.

332. Final Notice 2017: Adam Lancelot [pdf]

     Final notices Published: 20/09/2017
     This final notice refers to breaches of FIT related to lack of fitness/propriety in the Investment Adviser sector. We imposed a prohibition.

333. Final Notice 2016: Get Paid Limited [pdf]

     Final notices Published: 06/09/2016
     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.

334. Final Notice 2017: Nazia Naweed Shah [pdf]

     Final notices Published: 14/03/2017
     This final notice refers to breaches of PSR related to failing to be open and cooperative in the payment services sector. We imposed a cancellation.

335. FCA Final Notice 2013: Ali Parvez Shaikh [pdf]

     Final notices Published: 01/10/2013 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 systems sector. We imposed a cancellation.

336. Final Notice 2015: EDS Insure Limited [pdf]

     Final notices Published: 25/06/2015 Last modified: 25/06/2015
     This final notice refers to breaches of PRIN 11 related to threshold conditions in the general insurance and protection sector. We imposed a cancellation.

337. Final Notice 2017: Terry Hodges [pdf]

     Final notices Published: 11/10/2017
     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.

338. Final Notice 2015: Robin Farrell [pdf]

     Final notices Published: 31/03/2015 Last modified: 31/03/2015
     This final notice refers to breaches of APER 1 and APER 7 related to conflicts of interests and lack of fitness/propriety in the investment advisor sector. We imposed a fine, withdrawal and prohibition.

339. Final Notice 2015: Paul Reynolds [pdf]

     Final notices Published: 20/05/2015 Last modified: 20/05/2015
     This final notice refers to breaches of APER 1 and FIT related to mis-selling and failing to be open and co-operative in the investment advisor sector. We imposed a fine and a prohibition.

340. Final Notice 2018: Edward John Booth [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.