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Showing 1581 to 1590 of 1701 search results for This final notice refers to breaches of PRIN.

  1. FCA Final Notice 2014: AIM Money Transfer Limited [pdf]

    Final notices Published: 23/09/2014 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.

  2. Final notice 2016: Robert John Bygrave [pdf]

    Final notices Published: 01/02/2016 Last modified: 01/02/2016
    This final notice refers to breaches of APER 6, FIT and CASS related to appointed representatives, failing to act on information appropriately, client money, lack of fitness/propriety and unfair treatment of customers in the general insurance and

  3. Final notice 2017: Graham Patrick Lockstone [pdf]

    Final notices Published: 15/12/2017
    This final notice refers to breaches of FIT related to a lack of fitness and/propriety in the general insurance and protection sector. We imposed a prohibition.

  4. Final Notice 2023: London Capital & Finance plc (in administration) [pdf]

    Final notices Published: 11/10/2023
    This Final Notice refers to breaches of CoBS related to financial promotions in the Issuer sector. We imposed a public censure.

  5. Final Notice 2022: Kreis Financial Ltd [pdf]

    Final notices Published: 31/01/2022
    This final notice (Kreis Financial Ltd) refers to a failure to satisfy the Fit and Proper Test (FIT). We refused the individual’s application for approval.

  6. Final Notice 2018: Easy World Ltd [pdf]

    Final notices Published: 14/12/2018
    This final notice (Easy World Ltd) refers to breaches of payment services regulations (PSR) related to failing to be open and co-operative in the payment services sector. For the interest and protection of Consumers, we imposed a cancellation

  7. Final Notice 2022: Gosforth Car Centre Limited [pdf]

    Final notices Published: 21/09/2022
    This final notice (Gosforth Car Centre Limited) refers to a failure to satisfy threshold conditions (COND) in the credit broking sector. We refused the firm’s application for authorisation.

  8. Final Notice 2017: Richard Telfryn Jones [pdf]

    Final notices Published: 16/11/2017
    This final notice refers to breaches of FIT related to a lack of fitness/propriety in the General Insurance and Protection sector. We imposed a prohibition.

  9. FCA Final Notice 2013: Daniel Christopher 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.

  10. FCA Final Notice 2014: Khan Enterprise Money Transfers Ltd [pdf]

    Final notices Published: 18/09/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PSR related to the Payment Services Regulations in the payment services sector. We imposed a cancellation.
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