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Showing 1001 to 1010 of 1210 search results for This final notice refers to breaches of PRIN 3 related.
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Final Notice 2015: Michael John Allin [pdf]
This final notice refers to breaches of APER 4 related to failure to be open and cooperative with the Authority. We imposed a fine. -
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. -
FCA Final Notice 2014: Michael Stanley Hirst [pdf]
This final notice refers to breaches of FIT related to lack of fitness/propriety in the investment advisor sector. We imposed a prohibition. -
Final Notice 2018: Canara Bank [pdf]
This FCA Final Notice (Canara Bank) refers to breaches of Principle 3 and SYSC related to financial crime in the retail bank sector. We imposed a fine and restriction. -
Final Notice 2023: Ray Alan Davis [pdf]
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. -
Final Notice 2018: Arif Hussein [pdf]
This final notice refers to breaches of FIT related to lack of fitness/propriety and benchmarks in the investment bank sector. We imposed a prohibition. -
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: City & Provincial and Mr Zaffar Hassan Tanweer [pdf]
This final notice refers to breaches of APER 1 and FIT related to mortgage fraud in the mortgages and consumer credit sector. We imposed a prohibition (full), fine, withdrawal and cancellation. -
Final Notice 2018: Christian Bittar [pdf]
This final notice refers to knowing concern in breaches of Principle 5 related to benchmark submissions. We imposed a prohibition. -
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.