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Showing 901 to 910 of 1709 search results for This final notice refers to breaches of COND.

  1. FCA Final Notice 2013: Khyber Travel & Exchange Limited [pdf]

    Final notices Published: 04/09/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PSR related to lack of fitness, propriety, failing to be open and co-operative in the payment services sector. We imposed a refusal.

  2. Final notice 2016: Anthony Burton [pdf]

    Final notices Published: 27/10/2016
    This final notice refers to breaches of PRIN 11 and SUP related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  3. Final Notice 2015: Stephen Allen [pdf]

    Final notices Published: 16/04/2015 Last modified: 16/04/2015
    This final notice refers to breaches of FIT related to lack of fitness and propriety and failing to be open and co-operative in the general insurance and protection sector. We imposed a prohibition.

  4. FCA Final Notice 2014: Abdul Razzaq [pdf]

    Final notices Published: 14/08/2014 Last modified: 07/04/2015
    This final notice refers to breaches of FIT related to financial crime, client money/assets, failing to be open and co-operative, and lack of fitness/propriety in the mortgages sector. We imposed a prohibition.

  5. Final Notice 2015: Tariq Rashid [pdf]

    Final notices Published: 17/08/2015 Last modified: 17/08/2015
    This final notice refers to breaches of PSR, related to payment services regulations and failing to be open and co-operative in the payment services sector. We imposed a cancellation.

  6. Final Notice 2015: Cashsense Limited [pdf]

    Final notices Published: 10/06/2015 Last modified: 10/06/2015
    This final notice refers to breaches of PSR related to Payment Services Regulations and failing to be open and co-operative in the payment services sector. We imposed a cancellation.

  7. Final Notice 2022: Julius Baer International Limited [pdf]

    Final notices Published: 30/11/2022
    This Final Notice refers to breaches of PRIN 1, PRIN 3 and PRIN 11 related to failing to act with integrity, governance and failing to be open and co-operative in the in the Wealth Management and Private Banking sector. We imposed a financial penalty

  8. Final Notice 2015: Jeremy Kraft [pdf]

    Final notices Published: 22/01/2015 Last modified: 22/01/2015
    This final notice refers to breaches of APER 6, APER 7 and FIT, related to wholesale conduct, benchmarks, culture/governance, lack of fitness and propriety in the trading firms sector. We imposed a fine and a prohibition.

  9. 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.

  10. Final Notice 2017: Ashton Patterson [pdf]

    Final notices Published: 29/03/2017
    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.
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