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Showing 311 to 320 of 1068 search results for This final notice refers to breaches of PSR related.

  1. Final Notice 2016: Bradley Bailey [pdf]

    Final notices Published: 26/10/2016
    This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  2. Final Notice 2016: Mohammed Wajid [pdf]

    Final notices Published: 26/10/2016
    This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  3. Final Notice 2017: Joanne Fitzsimmons [pdf]

    Final notices Published: 10/05/2017
    This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  4. Final notice 2016: Mr Adam Harris trading as BM Motors [pdf]

    Final notices Published: 10/10/2016
    This final notice refers to breaches of PRIN 11 and COND related to failing to be open and co-operative in the consumer credit sector. We imposed a refusal.

  5. Final Notice 2017: John Abbott [pdf]

    Final notices Published: 28/02/2017
    This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  6. FCA Final Notice 2014: Financial Limited [pdf]

    Final notices Published: 23/07/2014 Last modified: 13/03/2015
    This final notice refers to breaches of PRIN 3 and SYSC related to culture/goverence in the investment adviser sector. We imposed a public censure, suspension, and restriction.

  7. Final Notice 2015: Bank of Beirut (UK) Ltd [pdf]

    Final notices Published: 05/03/2015 Last modified: 05/03/2015
    This final notice refers to breaches of PRIN 11 related to financial crime risks and failure to be open and cooperative with the Authority. We imposed a fine and a restriction.

  8. Final notice 2016: Russell Blakey [pdf]

    Final notices Published: 30/06/2016 Last modified: 30/06/2016
    This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  9. FCA Final Notice 2013: Churchill Securities (UK) Limited [pdf]

    Final notices Published: 25/07/2013 Last modified: 07/04/2015
    This Final Notice refers to breaches of TC related to threshold conditions in the investment advisors & platforms sector. We imposed a cancellation.

  10. Final Notice 2020: Commerzbank AG [pdf]

    Final notices Published: 17/06/2020
    Final Notice: Commerzbank AG