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Showing 181 to 190 of 1069 search results for This final notice refers to breaches of MAR related.

  1. Final Notice 2015: John Joseph Financial Services Limited [pdf]

    Final notices Published: 30/09/2015 Last modified: 06/10/2015
    This final notice refers to breaches of PRIN 9, SYSC, COB and COBS related to mis-selling in the investment adviser sector. We imposed a fine.

  2. Final notice 2016: W H Ireland Limited [pdf]

    Final notices Published: 23/02/2016 Last modified: 23/02/2016
    This final notice refers to breaches of PRIN 3 and SYSC related to market protection, culture/governance and conflicts of interest in the wealth management and private banking sector. We imposed a fine and restriction.

  3. Final notice 2016: Aaron Cooper [pdf]

    Final notices Published: 16/03/2016 Last modified: 16/03/2016
    This final notice refers to breaches of COND and PRIN 11 related to Threshold Conditions, Failing to be open and co-operative in the consumer credit sector. We imposed a refusal.

  4. FCA Final Notice 2014: Muhammad Irfan [pdf]

    Final notices Published: 12/08/2014 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 services sector. We imposed a cancellation.

  5. FCA Final Notice 2013: Fadugu 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.

  6. FCA Final Notice 2014: Habibur Rahman [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.

  7. FCA Final Notice 2014: Mohammed Dudu Miah [pdf]

    Final notices Published: 19/06/2014 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.

  8. FCA Final Notice 2013: Westwood Independent Financial Planners [pdf]

    Final notices Published: 17/12/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 7, PRIN 9 and COBS related to mis-selling and unfair treatment of customers in the investment advisers and platforms sector. We imposed a fine.

  9. Final Notice 2017: Andrew Quinn [pdf]

    Final notices Published: 14/06/2017
    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.

  10. Final Notice 2017: Peyman Pakyari [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.