Filter results
Filter by document type
Filter by year
Sort by:

Search results

Showing 341 to 350 of 4700 search results for final notice refers.

  1. FCA Final Notice 2013: Michael Conway [pdf]

    Final notices Published: 17/12/2013 Last modified: 07/04/2015
    This final notice refers to breaches of FIT related to lack of fitness/propriety in the wealth management and private banking, investment advisers and platforms sector. We imposed a prohibition.

  2. Final Notice 2024: Clive Harris Mongelard [pdf]

    Final notices Published: 12/07/2024
    “This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.” 

  3. FCA Final Notice 2014: Hamd Enterprises 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.

  4. FCA Final Notice 2014: City & Provincial and Mr Zaffar Hassan Tanweer [pdf]

    Final notices Published: 13/03/2014 Last modified: 07/04/2015
    This final notice refers to breaches of APER 1 and FIT related to mortgage fraud in the mortgages and consumer credit sector. We imposed a prohibition (full), fine, withdrawal and cancellation.

  5. Final Notice 2022: Philippe Moryoussef [pdf]

    Final notices Published: 28/07/2022
    This Final Notice refers to Mr Moryoussef’s fitness and propriety to perform a regulated function, following his conviction for conspiracy to defraud. We have prohibited Mr Moryoussef from performing any function in relation to a regulated activity

  6. FCA Final Notice 2013: Mustafa Dervish [pdf]

    Final notices Published: 18/10/2013 Last modified: 07/04/2015
    This final notice refers to breaches of APER 1 and 7 related to mis-selling, lack of fitness and propriety, and conflicts of interest in the investment advisors and platforms sector. We imposed a prohibition, withdrawal and a fine .

  7. Final Notice 2017: Ashton Patterson [pdf]

    Final notices Published: 29/03/2017
    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.

  8. Final Notice 2015: Muhammad Ashraf [pdf]

    Final notices Published: 17/08/2015 Last modified: 17/08/2015
    This final notice refers to breaches of PSR, related to payment services regulations and failing to be open and co-operative in the payment services sector. We imposed a cancellation.

  9. Final Notice 2016: Warmcool Limited [pdf]

    Final notices Published: 13/12/2016
    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.

  10. Final Notice 2023: Zereen Money Limited [pdf]

    Final notices Published: 17/05/2023
    This final notice refers to breaches of payment services regulations (PSR) related to failing to be open and co-operative in the payment services sector. We imposed a cancellation.
Related searches
Related topics