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Showing 101 to 110 of 1069 search results for This final notice refers to breaches of MAR related.

  1. Final notice 2016: Lester Evans [pdf]

    Final notices Published: 15/04/2016 Last modified: 15/04/2016
    This final notice refers to breaches of PRIN 11 and COND related to failing to be open and cooperative and threshold conditions in the general insurance and protection sector. We imposed a cancellation.

  2. FCA Final Notice 2014: Ewan King [pdf]

    Final notices Published: 30/01/2014 Last modified: 19/05/2015
    This final notice refers to breaches of PRIN 1 related to lack of fitness/propriety in the investment adviser sector. We imposed a fine and a prohibition.

  3. FCA Final Notice 2013: Policy Administration Services Limited [pdf]

    Final notices Published: 03/07/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 3 and 6 related to complaints-handling, and the unfair treatment of customers in the general insurance and protection sector. We imposed a fine.

  4. Final Notice 2017: Ian Foden [pdf]

    Final notices Published: 23/06/2017
    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. Final Notice 2021: Sapien Capital Limited [pdf]

    Final notices Published: 06/05/2021
    This Final Notice (Sapien Capital Limited) refers to breaches of PRIN 2 and PRIN 3 related to the risk of financial crime in the trading firms sector. We imposed a financial penalty.

  6. Final notice 2024: Etemaad Money Transfere Ltd [pdf]

    Final notices Published: 18/04/2024
    This final notice refers to breaches of Payment Services Regulations 2017 related to a failure to meet the conditions of registration. We imposed a cancellation.

  7. Final notice 2016: Mr Paul White [pdf]

    Final notices Published: 12/04/2016 Last modified: 12/04/2016
    This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment bank sector. We imposed a prohibition and public censure.

  8. Final Notice 2017: Parm Milap [pdf]

    Final notices Published: 04/07/2017
    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.

  9. Final Notice 2023: Simon Richard Hughes [pdf]

    Final notices Published: 03/10/2023
    This Final Notice (Simon Richard Hughes) refers to breaches of APER 2, 6 and 7 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We imposed a partial prohibition and withdrawal. A payment of

  10. Final Notice 2020: Goldman Sachs International (GSI) [pdf]

    Final notices Published: 22/10/2020 Last modified: 22/10/2020
    This Final Notice refers to breaches of PRIN 2 and PRIN 3 related to wholesale conduct in the investment bank sector. We imposed a financial penalty.