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Showing 231 to 240 of 4700 search results for final notice refers.

231. Final Notice: Richard Clay [pdf]

     Final notices Published: 25/10/2016
     This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

232. 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.

233. Final Notice 2015: Michael Banks [pdf]

     Final notices Published: 17/02/2015 Last modified: 17/02/2015
     This final notice refers to breaches of TC related to threshold conditions in the consumer credit sector. We imposed a refusal.

234. Final Notice 2015: LAFM Limited (formerly known as Lloyd Anderson Financial Management Limited) [pdf]

     Final notices Published: 12/02/2015 Last modified: 12/02/2015
     This final notice refers to breaches of Principle 11, related to threshold conditions in the consumer credit sector. We imposed a cancellation.

235. Final Notice 2019: Rarezero Ltd [pdf]

     Final notices Published: 15/11/2019
     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.

236. FCA Final Notice 2014: State Street [pdf]

     Final notices Published: 31/01/2014 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 6 and PRIN 7 related to wholesale conduct, unfair treatment of customers in the investment banks sector. We imposed a fine.

237. FCA Final Notice 2013: Porta Verde Financial Services Limited [pdf]

     Final notices Published: 24/10/2013 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 3, PRIN 6 and PRIN 7 related to appointed representatives, and unfair treatment of customers in the general insurance and protection sector. We imposed a fine.

238. Final Notice 2017: Andrew Quinn [pdf]

     Final notices Published: 14/06/2017
     This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

239. Final notice 2016: Sunrise Brokers LLP [pdf]

     Final notices Published: 13/06/2016 Last modified: 13/06/2016
     This final notice refers to a candidate for approval to perform controlled functions. The applicant firm and candidate did not provide sufficient information to satisfy us that the candidate met the honesty, integrity and reputation criteria of the

240. Final Notice 2017: Ashfaq Ahmed [pdf]

     Final notices Published: 13/06/2017
     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.