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Showing 1591 to 1600 of 1701 search results for This final notice refers to breaches of PRIN.
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Final notice 2016: Geoffrey Harold Arthur Fincher [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 2014: AL-Noor Corporation 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. -
Final Notice 2015: Gamma Transfers (UK) Limited [pdf]
This final notice refers to breaches of PSR related to Payment Services Regulations, failing to be open and co-operative in the payment services sector. We imposed a cancellation. -
Final Notice 2021: Hewden Stuart Limited [pdf]
This final notice (Hewden Stuart Limited) refers to a failure to satisfy the effective supervision threshold condition (COND) in the consumer credit sector. We imposed a cancellation. -
Final Notice 2015: B E Insulated Limited [pdf]
This final notice refers to breaches of COND and CONC related to failing to be open and co-operative in the Consumer Credit sector. We imposed a refusal. -
First Supervisory Notice 2022: Pello Capital Limited [pdf]
This First Supervisory Notice refers to breaches of Prin 3, 4 and 11 related to failing demonstrate that Pello Capital Limited has adequate and appropriate systems and controls to effectively manage risks. Failing to maintain adequate financial -
Final Notice 2023: Integrity Payment UK Ltd [pdf]
This final notice (Integrity Payment UK Ltd) refers to a failure to satisfy the Effective Supervision Threshold Condition (COND) due to the Authority having no means by which it can communicate with the firm. Therefore, we imposed a cancellation. -
Final Notice 2019: Giovanni Joseph Oliverio [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety in the private business adviser sector. We imposed a prohibition. -
FCA Final Notice 2014: ASE Global Transfers Limited [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 2020: Corrado Abbattista [pdf]
This Final Notice refers to breaches of FIT and MAR related to market abuse in the trading firm sector. We imposed a prohibition and financial penalty. File updated to include autotag accessibility requirement.