Filter results
Filter by document type
Filter by year
Sort by:

Search results

Showing 1621 to 1630 of 1701 search results for This final notice refers to breaches of PRIN.

  1. Final notice 2020: Elizabeth Marie Walker [pdf]

    Final notices Published: 21/02/2020
    This final notice (Elizabeth Marie Walker) refers to a candidate for approval to perform a controlled function. The candidate did not satisfy us that she met the competence and capability criteria of the FCA’s Fit and Proper Person Test. We

  2. Final Notice 2018: Alistair Rae Burns [pdf]

    Final notices Published: 20/09/2018
    This Final Notice refers to breaches of APER 7 and FIT related to conflicts of interest, a lack of fitness/propriety and mis-selling in the investment adviser and pensions sector. We imposed a fine and a prohibition.

  3. Final Notice 2021: Servicesport Finance Limited [pdf]

    Final notices Published: 10/11/2021
    This Final Notice refers to a failure to satisfy the Fit and Proper Test (FIT). We refused the individual’s application for approval.

  4. FCA Final Notice 2014: Bluerock Foreign Exchange Limited [pdf]

    Final notices Published: 24/07/2014 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.

  5. FCA Final Notice 2014: The Zim Shop Limited [pdf]

    Final notices Published: 09/04/2014 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 systems sector. We imposed a cancellation.

  6. Further Final Notice 2020: Lloyd Arnold Pope [pdf]

    Final notices Published: 23/03/2020
    This Final Notice (Lloyd Arnold Pope) refers to breaches of APER 7 and FIT related to mis-selling, lack of fitness/propriety and conflicts of interest in the Investment Adviser and Pensions sector. We imposed a financial penalty, a prohibition and

  7. FCA Final Notice 2014: Collingwood Mourton Associates Limited [pdf]

    Final notices Published: 18/12/2014 Last modified: 18/12/2014
    This final notice refers to breaches of threshold conditions in the investment and home finance sector. We imposed a cancellation.

  8. Final Notice 2022: Wolves Trade Centre Ltd [pdf]

    Final notices Published: 16/02/2022
    This final notice (Wolves Trade Centre Ltd) refers to a failure to satisfy threshold conditions (COND) in the credit broking sector. We refused the firm’s application for authorisation.

  9. Final Notice 2019: Andrew James Tinney [pdf]

    Final notices Published: 16/08/2019 Last modified: 06/08/2020
    This final notice (Andrew James Tinney) refers to breaches of APER 1 related to failing to be open and co-operative and a lack of fitness/propriety in the wealth management and private banking sector. We imposed a public censure.

  10. Final Notice 2019: Mark John Owen [pdf]

    Final notices Published: 16/01/2019
    This final notice (Mark John Owen) refers to breaches by an executive director of APER 1, APER 4 and FIT related to a lack of fitness/propriety and failing to act on information appropriately in the asset management sector. We imposed a fine and
Related topics