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Showing 461 to 470 of 1201 search results for This final notice refers to breaches of COND related.

461. 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.

462. Final Notice 2019: David John Mills [pdf]

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

463. 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.

464. FCA Final Notice 2014: Investments Limited [pdf]

     Final notices Published: 23/07/2014 Last modified: 13/03/2015
     This final notice refers to breaches of PRIN 3 and SYSC related to culture/goverence in the investment adviser sector. We imposed a public censure, suspension, and restriction.

465. Final Notice 2015: Salam Transfer Limited [pdf]

     Final notices Published: 13/11/2015 Last modified: 13/11/2015
     This final notice refers to breaches of the Payment Services Regulations 2009 (the PSRs), Regulation 13, related to lack of fitness/propriety and failing to be open and cooperative with the Financial Conduct Authority. We imposed a refusal of the

466. Final Notice 2017: Raj Von Badlo [pdf]

     Final notices Published: 20/02/2017
     This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

467. Final Notice 2020: Blue Gate Capital Limited [pdf]

     Final notices Published: 18/12/2020
     This Final Notice (Blue Gate Capital Limited) refers to breaches of PRIN 2 and PRIN 7 related to financial promotions in the asset management sector. We imposed a requirement to pay restitution and a public censure.

468. Final Notice 2016: Ross Tony Peters [pdf]

     Final notices Published: 01/11/2016
     This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

469. Final Notice 2016: Aaron Lee Petrou [pdf]

     Final notices Published: 01/11/2016
     This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

470. Final Notice 2022: Citigroup Global Markets Limited [pdf]

     Final notices Published: 19/08/2022
     This Final Notice refers to breaches of Principle 2 of the FCA’s Principles for Businesses and Article 16(2) of the Market Abuse Regulation related to market protection and wholesale conduct in the Investment Banking and Trading Firm sector. We