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Showing 391 to 400 of 1201 search results for This final notice refers to breaches of COND related.
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FCA Final Notice 2013: Quakle Limited [pdf]
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. -
FCA Final Notice 2013: Fadugu Limited [pdf]
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. -
FCA Final Notice 2014: Habibur Rahman [pdf]
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. -
FCA Final Notice 2013: Westwood Independent Financial Planners [pdf]
This final notice refers to breaches of PRIN 7, PRIN 9 and COBS related to mis-selling and unfair treatment of customers in the investment advisers and platforms sector. We imposed a fine. -
FCA Final Notice 2014: Mohammed Dudu Miah [pdf]
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. -
Final Notice 2017: Jeffrey Houston [pdf]
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. -
Final Notice 2017: Mark Leaper [pdf]
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. -
Final Notice 2022: Sigma Broking Limited [pdf]
This Final Notice (Sigma Broking Limited) refers to breaches of SUP 17, SUP 15, PRIN 3 and Article 16 of MAR related to market abuse and transaction reporting failures in the trading firm sector. We imposed a financial penalty. -
FCA Final Notice 2014: State Street [pdf]
This final notice refers to breaches of PRIN 6 and PRIN 7 related to wholesale conduct, unfair treatment of customers in the investment banks sector. We imposed a fine. -
Final Notice 2017: Andrew Quinn [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.