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Showing 1421 to 1430 of 1701 search results for This final notice refers to breaches of PRIN.
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Final notice 2016: Elizabeth Anne Parry [pdf]
This final notice refers to breaches of APER 1 and FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a fine and prohibition. -
Final Notice 2022: Carlo Palombo [pdf]
This Final Notice refers to Mr Palombo’s fitness and propriety to perform a regulated function, following his conviction for conspiracy to defraud. We have prohibited Mr Palombo from performing any function in relation to a regulated activity. -
FCA Final Notice 2013: John Patrick Morris [pdf]
This final notice refers to breaches of TC related to threshold conditions in the general insurance and protection sector. We imposed a OIVOP and cancellation. -
FCA Final Notice 2013: Horn Express Ltd (formerly Qaran Express Money Transfer Limited) [pdf]
This final notice refers to breaches of PSR related to client money/assets in the payment services sector. We imposed a public censure. -
Final Notice 2021: Crosfill & Archer Claims Limited [pdf]
This Final Notice refers to breaches of breach of the Conduct of Authorised Persons Rules 2014 (“CAPR”) related to unfair treatment of customers in the claims management sector. We imposed a financial penalty. -
FCA Final Notice 2014: Euro Remittance Limited [pdf]
This final notice refers to breaches of PSR related to the Payment Services Regulations in the payment services sector. We imposed a cancellation. -
Final Notice 2017: Nazia Naweed Shah [pdf]
This final notice refers to breaches of PSR related to failing to be open and cooperative in the payment services sector. We imposed a cancellation. -
Final Notice 2018: Asset Trust Group (Paul Hammond trading as) [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 General Insurance and Protection sector and Investment advisory sector. We imposed a -
FCA Final Notice 2014: Managed Debt Services Ltd [pdf]
This final notice refers to breaches of TC and CONC related to threshold conditions in the consumer credit sector. We imposed a refusal. -
FCA Final Notice 2014: Go Transfer Limited [pdf]
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.