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Showing 651 to 660 of 4701 search results for final notice refers.

651. Final Notice: Excel Leasing Limited [pdf]

     Final notices Published: 21/10/2016
     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.

652. Final Notice 2018: Alexander David Osborne Stuart [pdf]

     Final notices Published: 26/03/2018
     This final notice refers to breaches of APER 1 and FIT relating to a lack of fitness/propriety in the investment adviser sector. We imposed a fine and prohibition.

653. Final Notice 2016: (Be)Spoke Derby Limited [pdf]

     Final notices Published: 05/12/2016
     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.

654. Final Notice 2023: Al Rayan Bank PLC [pdf]

     Final notices Published: 11/01/2023
     This Final Notice refers to breaches of Principle 3 related to Financial Crime in the Retail Bank sector. We imposed a Financial Penalty.

655. Final Notice 2022: Sumer 62 Ltd [pdf]

     Final notices Published: 14/01/2022
     This final notice refers to breaches of the PSR, related to failing to meet the conditions for registration in the payment systems sector. We imposed a cancellation.

656. FCA Final Notice 2013: Mark Richard Faulkner [pdf]

     Final notices Published: 29/07/2013 Last modified: 07/04/2015
     This final notice refers to breaches of TC related to threshold conditions in the general insurance and protection sector. We imposed a OIVOP and a cancellation.

657. FCA Final Notice 2014: Lloyds Bank plc and Bank of Scotland plc [pdf]

     Final notices Published: 28/07/2014 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 3 and PRIN 5 related to wholesale conduct, benchmarks, and conflicts of interest in the retail banks sector. We imposed a fine.

658. FCA Final Notice 2013: JLT Specialty Limited [pdf]

     Final notices Published: 19/12/2013 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 3 related to financial crime in the general insurance and protection sector. We imposed a fine.

659. Final Notice 2019: Lynden Gerard Scourfield [pdf]

     Final notices Published: 21/06/2019
     This final notice refers to breaches of FIT related to a lack of fitness/propriety in the retail banking sector. We imposed a prohibition.

660. Final Notice 2023: Matrix Investments (1975) Limited [pdf]

     Final notices Published: 09/08/2023
     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 retail investments and consumer credit sector. We imposed a cancellation.