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Showing 1171 to 1180 of 1210 search results for This final notice refers to breaches of PRIN 3 related.

  1. Final notice 2016: Colin J McIntosh [pdf]

    Final notices Published: 01/02/2016 Last modified: 01/02/2016
    This final notice refers to breaches of APER 1, APER 4, APER 7, FIT and CASS related to appointed representatives, client money, failing to act on information appropriately, failing to be open and co-operative, lack of fitness/propriety and unfair

  2. Final Notice 2015: Steven Martin [pdf]

    Final notices Published: 23/10/2015 Last modified: 23/10/2015
    This Final Notice refers to breaches of APER 6 and MCOB (Mortgage Conduct of Business Rules) related to unfair treatment of customers in the sale and rent back sector. We imposed a public censure and redress.

  3. FCA Final Notice 2014: Knightsbridge Foreign Currency Exchange Limited [pdf]

    Final notices Published: 30/05/2014 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.

  4. 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

  5. Final notice 2018: Worldwide Central Repository Limited [pdf]

    Final notices Published: 13/02/2018
    This final notice refers to breaches of COND related to Threshold conditions in the consumer credit sector. We imposed a refusal.

  6. FCA Final Notice 2014: Al-Madina Travel & Finance Limited [pdf]

    Final notices Published: 18/06/2014 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.

  7. Decision Notice 2020: Eurofin Capital Ltd [pdf]

    Decision notices Published: 05/08/2020
    This decision notice (Eurofin Capital Ltd) refers to breaches of The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 related to failing to be open and co-operative in the trading firm sector.

  8. Final Notice 2015: Execution Noble & Company Limited [pdf]

    Final notices Published: 06/01/2015 Last modified: 06/01/2015
    This final notice refers to breaches of the Listing Rules related to failing to be open and co-operative in the sponsor sector. We imposed a fine.

  9. Final notice 2016: Peter Francis Johnson [pdf]

    Final notices Published: 19/05/2016 Last modified: 19/05/2016
    This final notice refers to breaches of APER 1, APER 4 and FIT related to failing to be open and co-operative, failing to act on information appropriately, a lack of fitness/propriety and mis-selling in the asset management sector. We imposed a

  10. Final notice 2016: Cross Keys Estate & Finance Limited [pdf]

    Final notices Published: 22/02/2016 Last modified: 22/02/2016
    This final notice refers to breaches of COND and TC related to Threshold Conditions and lack of fitness and propriety in the Consumer Credit sector. We imposed a refusal.