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Showing 1311 to 1320 of 1701 search results for This final notice refers to breaches of PRIN.

  1. Final notice 2016: PDHL Limited [pdf]

    Final notices Published: 10/03/2016 Last modified: 10/03/2016
    This final notice refers to numerous breaches of CONC Chapter 8 related to an inability to meet Threshold Condition 2D (appropriate non-financial resources) and 2E (Suitability) in the Consumer Credit: Debt Management sector. We imposed a refusal of

  2. FCA Final Notice 2014: David Welsby [pdf]

    Final notices Published: 09/10/2014 Last modified: 07/04/2015
    This final notice refers to breaches of APER 1 related to client money/assets in the asset management sector. We imposed a fine, withdrawal and a prohibition.

  3. Final Notice 2015: Lee Bruce Stewart [pdf]

    Final notices Published: 30/07/2015 Last modified: 30/07/2015
    This final notice refers to breaches of FIT related to lack of fitness/propriety in the trading firms sector. We imposed a prohibition.

  4. Final Notice 2021: Wills Cars Limited [pdf]

    Final notices Published: 02/12/2021
    This final notice refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative (PRIN 11) in the credit broking sector. We refused the firm’s application for authorisation.

  5. FCA Final Notice 2014: Paul Catterall [pdf]

    Final notices Published: 19/06/2014 Last modified: 07/04/2015
    This final notice refers to breaches of COND related to threshold conditions, and lack of fitness/propriety in the general insurance and protection sector. We imposed a refusal.

  6. FCA Final Notice 2014: Mohammed Hasan trading as Baba Money [pdf]

    Final notices Published: 02/06/2014 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.

  7. Final Notice 2019: Eric Ka Chi Siu [pdf]

    Final notices Published: 25/07/2019
    This final notice (Eric Ka Chi Siu) refers to breaches of the Listing Principles and Disclosure Rules and Transparency Rules in the issuer sector. We imposed a financial penalty.

  8. Final Notice 2015: Mothahir Miah [pdf]

    Final notices Published: 17/11/2015 Last modified: 17/11/2015
    This final notice refers to breaches of APER 1 and FIT related to lack of fitness/propriety, unfair treatment of customers and conflicts of interest in the asset management sector. We imposed a fine and a prohibition.

  9. Final Notice 2015: David Caplin [pdf]

    Final notices Published: 22/01/2015 Last modified: 22/01/2015
    This final notice refers to breaches of APER 7 and FIT, related to wholesale conduct, benchmarks, culture/governance, lack of fitness and propriety in the trading firms sector. We imposed a fine and a prohibition.

  10. FCA Final Notice 2014: Hamd Enterprises 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.
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