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Showing 641 to 650 of 1201 search results for This final notice refers to breaches of COND related.
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Final Notice 2016: (Be)Spoke Derby Limited [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 2015: Sylhet Links Limited [pdf]
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. -
Final Notice 2015: Merrill Lynch International [pdf]
This final notice refers to breaches of SUP related to transaction reporting in the investment bank sector. We imposed a fine. -
Final Notice 2017: Christopher Niehaus [pdf]
This final notice refers to breaches of APER 2 related to wholesale conduct in the investment banking sector. We imposed a fine. -
Final Notice 2022: Andrew Mark Thomas Page [pdf]
This Final Notice (Andrew Mark Thomas Page) 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 -
Final Notice 2016: Get Paid Limited [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 2016: Tariq Carrimjee [pdf]
This final notice refers to breaches of APER 2 and FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a fine and prohibition. -
Final Notice 2023: Keith Dickinson [pdf]
This Final Notice refers to breaches of APER 2 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We imposed a partial prohibition and public censure. A payment of £70,000 is being made to the FSCS -
Final notice 2020: Exigotrade Ltd [pdf]
This final notice (Exigotrade Ltd) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation. -
Final Notice 2015: Badruzzaman Choudhury [pdf]
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.