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Showing 721 to 730 of 1201 search results for This final notice refers to breaches of COND related.

  1. FCA Final Notice 2014: John Christopher Hughes [pdf]

    Final notices Published: 29/04/2014 Last modified: 07/04/2015
    This final notice refers to breaches of FIT related to market protection, wholesale conduct, and lack of fitness/propriety in the investment bank. We imposed a prohibition.

  2. Final notice 2017: Paul Axel Walter [pdf]

    Final notices Published: 22/11/2017
    This final notice refers to breaches of section 118 FSMA related to market abuse in the trading firm sector. We imposed a financial penalty.

  3. Final Notice 2019: Freddy David [pdf]

    Final notices Published: 15/05/2019
    This final notice refers to breaches of FIT related to financial crime (Freddy David), client money/assets and a lack of fitness and propriety in the investment adviser sector. We imposed a prohibition.

  4. Final Notice 2017: Richard Greenwood [pdf]

    Final notices Published: 11/10/2017
    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.

  5. FCA Final Notice 2014: Best Value 4 U 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.

  6. Final notice 2016: Tellaw (UK) Limited [pdf]

    Final notices Published: 17/08/2016
    This final notice refers to breaches of the Electronic Money Regulations 2011, Regulation 13, related to initial capital, business plan, safeguarding, lack of fitness and propriety, and failing to be open and co-operative with the Authority. We

  7. Final Notice 2020: Lychworth Limited [pdf]

    Final notices Published: 25/02/2020
    This final notice (Lychworth Limited) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation

  8. FCA Final Notice 2014: Peter Thomas Carron [pdf]

    Final notices Published: 16/09/2014 Last modified: 07/04/2015
    This final notice refers to breaches of APER 1 related to unfair treatment of customers, and lack of fitness/propriety in the investment adviser sector. We imposed a fine and a prohibition.

  9. Final notice 2016: RM Trade Sales Limited [pdf]

    Final notices Published: 12/05/2016 Last modified: 12/05/2016
    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.

  10. FCA Final Notice 2013: Leader Transfer Limited [pdf]

    Final notices Published: 04/11/2013 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.