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Showing 951 to 960 of 1210 search results for This final notice refers to breaches of PRIN 3 related.
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Final Notice 2016: Ross Tony Peters [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. -
Final Notice 2016: Aaron Lee Petrou [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. -
Final Notice 2015: Salam Transfer Limited [pdf]
This final notice refers to breaches of the Payment Services Regulations 2009 (the PSRs), Regulation 13, related to lack of fitness/propriety and failing to be open and cooperative with the Financial Conduct Authority. We imposed a refusal of the -
Final Notice 2015: Paivi Grigg [pdf]
This final notice refers to breaches of APER 6 related to appointed representatives, culture/governance and unfair treatment of customers in the investment adviser sector . We imposed a fine. -
FCA Final Notice 2013: Khyber Travel & Exchange Limited [pdf]
This final notice refers to breaches of PSR related to lack of fitness, propriety, failing to be open and co-operative in the payment services sector. We imposed a refusal. -
FCA Final Notice 2013: Christopher Willford [pdf]
This final notice refers to breaches of APER 6 related to failing to act on information appropriately in the retail banks sector. We imposed a fine. -
Final Notice 2015: Stephen Allen [pdf]
This final notice refers to breaches of FIT related to lack of fitness and propriety and failing to be open and co-operative in the general insurance and protection sector. We imposed a prohibition. -
Final Notice 2015: Kenneth George Carver [pdf]
This final notice refers to breaches of MAR related to market abuse in the issuer sector. We imposed a fine. -
FCA Final Notice 2014: Anthony Verrier [pdf]
This final notice refers to breaches of FIT related to lack of fitness and propritey in the trading firms sector. We imposed a prohibition. -
FCA Final Notice 2014: Ian Charles Hannam [pdf]
This final notice refers to breaches of MAR related to market abuse in the investment banks sector. We imposed a fine.