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Showing 1361 to 1370 of 1701 search results for This final notice refers to breaches of PRIN.

1361. FCA Final Notice 2014: Anthony Verrier [pdf]

      Final notices Published: 29/01/2014 Last modified: 07/04/2015
      This final notice refers to breaches of FIT related to lack of fitness and propritey in the trading firms sector. We imposed a prohibition.

1362. FCA Final Notice 2014: Ian Charles Hannam [pdf]

      Final notices Published: 22/07/2014 Last modified: 07/04/2015
      This final notice refers to breaches of MAR related to market abuse in the investment banks sector. We imposed a fine.

1363. Final Notice 2015: Muhammad Ashraf [pdf]

      Final notices Published: 17/08/2015 Last modified: 17/08/2015
      This final notice refers to breaches of PSR, related to payment services regulations and failing to be open and co-operative in the payment services sector. We imposed a cancellation.

1364. Final Notice 2019: Mark Dobson [pdf]

      Final notices Published: 21/06/2019
      This final notice refers to breaches of FIT related to a lack of fitness/propriety in the retail banking sector. We imposed a prohibition.

1365. FCA Final Notice 2013: Michael Conway [pdf]

      Final notices Published: 17/12/2013 Last modified: 07/04/2015
      This final notice refers to breaches of FIT related to lack of fitness/propriety in the wealth management and private banking, investment advisers and platforms sector. We imposed a prohibition.

1366. FCA Final Notice 2014: David Gillespie [pdf]

      Final notices Published: 09/10/2014 Last modified: 07/04/2015
      This final notice refers to breaches of APER 1 and APER 6 related to client money/assets in the asset management sector. We imposed a fine, withdrawal and a prohibition.

1367. Final Notice 2018: Alan Taylor [pdf]

      Final notices Published: 14/11/2018
      This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

1368. Final Notice 2021: Convert My Conservatory [pdf]

      Final notices Published: 18/11/2021
      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.

1369. FCA Final Notice 2013: Jeffrey Simon Bennett [pdf]

      Final notices Published: 12/07/2013 Last modified: 19/05/2015
      This final notice refers to breaches of APER 6 related to misselling and lack of fitness/propriety in the investment advisers and platforms sector. We imposed a fine, a prohibition order and withdrawal of approval.

1370. Final Notice 2015: United Forex Limited [pdf]

      Final notices Published: 05/08/2015 Last modified: 05/08/2015
      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.