Search results
Showing 271 to 280 of 1201 search results for This final notice refers to breaches of COND related.
-
Final Notice 2013: Michael Coscia [pdf]
This final notice refers to breaches of MAR related to market abuse in the trading frims sector. We imposed a fine. -
Final notice 2016: Quick Pay Forex Limited [pdf]
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. -
Final Notice 2022: Aiden Henderson [pdf]
This Final Notice (Aiden Henderson) refers to breaches of APER 1 and FIT related to a lack of fitness/propriety and mis-selling in the investment adviser and pensions sector. We imposed a prohibition and financial penalty. -
Final Notice 2021: Omar Hussein [pdf]
This Final Notice refers to breaches of APER 1 and 7 related to failing to act with integrity and failing to demonstrate that suitable advice was given in the pensions sector. We imposed a financial penalty, withdrawal and prohibition. -
Final Notice 2023: Christopher Vincent Summers [pdf]
This Final Notice (Christopher Vincent Summers) refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition. -
FCA Final Notice 2013: Mr Rahul Shah [pdf]
This final notice refers to breaches of MAR related to market abuse in the investment adviser sector. We imposed a fine and prohibition. -
Final Notice 2022: Matthew Charles Kent [pdf]
This Final Notice (Matthew Charles Kent) refers to breaches of APER 7 related to the failure to ensure compliance with PRIN 3 in the trading firms sector, which led to further breaches of SUP 17, SUP 15 and Article 16 of MAR. We imposed a financial -
Final Notice 2023: Denis Lee Morgan [pdf]
This Final Notice refers to breaches of FIT related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We imposed a prohibition and withdrawal of approvals. -
Final Notice 2022: Robert Ward [pdf]
This Final Notice (Robert Ward) refers to breaches of APER 1 and FIT related to a lack of fitness/propriety, mis-selling and failing to be open and co-operative in the investment adviser and pensions sector. We imposed a prohibition and financial -
Final Notice 2015: Alina Business & Financial Services Limited [pdf]
This final notice refers to breaches of PSR related to the Payment Services Regulations in the payment services sector. We imposed a cancellation.