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Showing 941 to 950 of 1709 search results for This final notice refers to breaches of COND.

941. 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.

942. Final notice 2016: Mark Andrew Walker [pdf]

     Final notices Published: 13/07/2016 Last modified: 13/07/2016
     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.

943. Final Notice 2019: Mark Dobson [pdf]

     Final notices Published: 21/06/2019
     This final notice refers to breaches of FIT related to a lack of fitness/propriety in the retail banking sector. We imposed a prohibition.

944. Final Notice 2015: Muhammad Ashraf [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.

945. FCA Final Notice 2014: Citibank N.A. [pdf]

     Final notices Published: 12/11/2014 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 3 related to wholesale conduct and benchmarks in the investment bank sector. We imposed a fine.

946. Final Notice 2018: Alan Taylor [pdf]

     Final notices Published: 14/11/2018
     This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

947. Final Notice 2015: Kenneth George Carver [pdf]

     Final notices Published: 30/03/2015 Last modified: 30/03/2015
     This final notice refers to breaches of MAR related to market abuse in the issuer sector. We imposed a fine.

948. Final Notice 2015: United Forex Limited [pdf]

     Final notices Published: 05/08/2015 Last modified: 05/08/2015
     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.

949. FCA Final Notice 2013: Michael Conway [pdf]

     Final notices Published: 17/12/2013 Last modified: 07/04/2015
     This final notice refers to breaches of FIT related to lack of fitness/propriety in the wealth management and private banking, investment advisers and platforms sector. We imposed a prohibition.

950. FCA Final Notice 2014: David Gillespie [pdf]

     Final notices Published: 09/10/2014 Last modified: 07/04/2015
     This final notice refers to breaches of APER 1 and APER 6 related to client money/assets in the asset management sector. We imposed a fine, withdrawal and a prohibition.