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Showing 481 to 490 of 1331 search results for This final notice refers to breaches of FIT.
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Final Notice 2019: UBS AG [pdf]
This final notice (UBS AG) refers to breaches of SUP 17, SUP 15 and PRIN 3 related to transaction reporting failures in the investment bank sector. We imposed a fine. -
Final Notice 2015: Craig Anthony Welborn [pdf]
This final notice refers to breaches of COND and TC related to failing to be open and co-operativein the consumer credit sector. We imposed a refusal. -
Final Notice 2017: R Taggar [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 2021: Derek Hamilton [pdf]
This final notice (Derek Hamiliton) refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority PRIN 11 in the consumer credit sector. We imposed a cancellation. -
Final Notice 2015: EDS Insure Limited [pdf]
This final notice refers to breaches of PRIN 11 related to threshold conditions in the general insurance and protection sector. We imposed a cancellation. -
FCA Final Notice 2013: Praetor Capital LLP [pdf]
This Final Notice refers to breaches of PRIN 11 related to threshold conditions in the asset management sector. We imposed a cancellation. -
Final Notice 2023: Keal Stevens [pdf]
This final notice (Keal Stevens) refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the consumer credit sector. We imposed a cancellation. -
Final notice 2016: Motoassist UK Limited [pdf]
This final notice refers to breaches of PRIN 11, failing to be open and co-operative in the consumer credit sector. We imposed a cancellation. -
Final Notice: FC Group 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: Treviso Coffee Co Limited [pdf]
This final notice refers to breaches of Principle 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.