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Showing 141 to 150 of 4700 search results for final notice refers.

141. Final notice 2015: AR Capital [pdf]

     Final notices Published: 12/11/2015 Last modified: 12/11/2015
     This final notice refers to an applicant for Part 4A permission not satisfying the FCA’s appropriate resources and suitability threshold conditions. We refused the application.

142. FCA Final Notice 2015: Tiuta Plc [pdf]

     Final notices Published: 05/11/2015 Last modified: 05/11/2015
     This Final Notice refers to breaches of PRIN 4, COND, MIPRU and IPRU-INV related to threshold conditions in the investment adviser sector. We imposed a cancellation.

143. Final notice 2016: Alan Whittington [pdf]

     Final notices Published: 25/02/2016 Last modified: 25/02/2016
     This final notice refers to breaches of PRIN 11 related to failing to be open

144. FCA Final Notice 2013: IBBL Exchange UK Limited (formerly Jalalabad Money Transfer & Travels Limited) [pdf]

     Final notices Published: 18/07/2013 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 services sector. We imposed a cancellation.

145. FCA Final Notice 2014: Doditel Limited [pdf]

     Final notices Published: 19/05/2014 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.

146. FCA Final Notice 2014: Sesame Limited [pdf]

     Final notices Published: 29/10/2014 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 8 and COBS related to conflicts of interest in the life insurance and investment adviser sector. We imposed a fine.

147. Final notice 2016: Naimat Gul [pdf]

     Final notices Published: 22/08/2016
     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.

148. Final Notice 2022: Bellamachina Ltd [pdf]

     Final notices Published: 20/12/2022 Last modified: 01/03/2023
     This final notice refers to a failure to satisfy the suitability threshold condition (COND).

149. Final Notice 2020: Goldman Sachs International (GSI) [pdf]

     Final notices Published: 22/10/2020 Last modified: 22/10/2020
     This Final Notice refers to breaches of PRIN 2 and PRIN 3 related to wholesale conduct in the investment bank sector. We imposed a financial penalty.

150. Final notice 2016: BN1 Cars Ltd [pdf]

     Final notices Published: 24/03/2016 Last modified: 24/03/2016
     This final notice refers to breaches of COND and TC, failing to be open and co-operative. We imposed a refusal.