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Showing 1391 to 1400 of 1701 search results for This final notice refers to breaches of PRIN.
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Final Notice 2015: Kweku Mawuli Adoboli [pdf]
This final notice refers to breaches of FIT related to lack of fitness/propriety in the investment bank sector. We imposed a prohibition. -
Final Notice 2022: Reece Klewchuck [pdf]
This final notice refers to a failure to satisfy threshold conditions (COND) in the credit broking sector. We refused the firm’s application for authorisation. -
Final Notice 2015: Forexex Limited [pdf]
This final notice refers to breaches of Payment Services Regulations 2009, Regulation 13, related to lack of fitness/propriety and failing to be open and co-operative with the Authority. We imposed a refusal of the firm’s application for -
Final Notice 2023: Mr Naeem Akhtar (trading as The Car Team) [pdf]
This final notice 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: M8’s Rates Loans Limited [pdf]
This final notice refers to breaches of COND and CONC, related to threshold conditions in the consumer credit sector. We imposed a refusal. -
FCA Final Notice 2013: Ali Parvez Shaikh [pdf]
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. -
Final Notice 2017: Adam Lancelot [pdf]
This final notice refers to breaches of FIT related to lack of fitness/propriety in the Investment Adviser sector. We imposed a prohibition. -
Final Notice 2016: Adam Philip Hawkins [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition. -
FCA Final Notice 2013: Mustafa Dervish [pdf]
This final notice refers to breaches of APER 1 and 7 related to mis-selling, lack of fitness and propriety, and conflicts of interest in the investment advisors and platforms sector. We imposed a prohibition, withdrawal and a fine . -
Final notice 2016: Good Motors 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.