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Showing 131 to 140 of 4700 search results for final notice refers.

131. Final Notice 2024: Kulvir Virk [pdf]

     Final notices Published: 24/06/2024
     This Final Notice refers to breaches of PRIN 1 and PRIN 6 related to a failure to act with integrity and a failure to exercise due care, skill and diligence in the pensions sector. We imposed a financial penalty and a prohibition order.

132. Final Notice 2023: Statum Limited [pdf]

     Final notices Published: 07/08/2023
     This Final Notices refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the Consumer Credit sector. We imposed a cancellation.

133. Final Notice 2013: Michael Coscia [pdf]

     Final notices Published: 03/07/2013 Last modified: 07/04/2015
     This final notice refers to breaches of MAR related to market abuse in the trading frims sector. We imposed a fine.

134. FCA issued Final Notices against Cathay International Holdings Limited, its CEO and Finance Director

     Press Releases Published: 25/07/2019 Last modified: 23/10/2023
     Today, the FCA has issued Final Notices against all three.

135. Final notice 2016: Pacific Continental Securities (UK) Limited (In Liquidation) [pdf]

     Final notices Published: 15/03/2016 Last modified: 17/03/2016
     This final notice refers to breaches of Prin 4, Cond and IPRU-INV related to threshold conditions in the investment advisor sector. We imposed a cancellation.

136. Final notice 2016: R Sadler [pdf]

     Final notices Published: 12/05/2016 Last modified: 12/05/2016
     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.

137. FCA Final Notice 2013: Policy Administration Services Limited [pdf]

     Final notices Published: 03/07/2013 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 3 and 6 related to complaints-handling, and the unfair treatment of customers in the general insurance and protection sector. We imposed a fine.

138. FCA Final Notice 2013: Mr Rahul Shah [pdf]

     Final notices Published: 13/11/2013 Last modified: 07/04/2015
     This final notice refers to breaches of MAR related to market abuse in the investment adviser sector. We imposed a fine and prohibition.

139. Final Notice 2024: Hadyn Gamblin [pdf]

     Final notices Published: 01/03/2024
     This final notice refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority PRIN 11 in the consumer credit sector. We imposed a cancellation.

140. Final Notice 2015: Alina Business & Financial Services Limited [pdf]

     Final notices Published: 14/01/2015 Last modified: 14/01/2015
     This final notice refers to breaches of PSR related to the Payment Services Regulations in the payment services sector. We imposed a cancellation.