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Showing 581 to 590 of 659 search results for final notice refers to a failure to satisfy.

581. 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.

582. 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

583. 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.

584. First Supervisory Notice 2019: SVS Securities Plc [pdf]

     Supervisory notices Published: 08/08/2019
     This first supervisory notice refers to a failure to satisfy the suitability and appropriate resources threshold conditions (COND) and to breaches of SYSC, PROD and PRIN. We imposed requirements on the firm.

585. Final Notice 2015: Michael John Allin [pdf]

     Final notices Published: 05/03/2015 Last modified: 05/03/2015
     This final notice refers to breaches of APER 4 related to failure to be open and cooperative with the Authority. We imposed a fine.

586. Final Notice 2024: Global 4X Limited [pdf]

     Final notices Published: 13/06/2024
     This final notice refers to breaches of Payment Services Regulations 2017 related to a failure to meet the conditions of authorisation. We imposed a cancellation.

587. 2019 fines

     News stories Published: 16/01/2019 Last modified: 20/01/2020
     This page contains information about enforcement fines published during the calendar year ending 2019.

588. Final Notice 2018: Stallion Financial Investments Plc [pdf]

     Final notices Published: 05/02/2018
     This final notice refers to an application for Part 4A authorisation (‘the Application’) by a firm in respect of the regulated activities subject to the Application. Due to concerns about the firm’s ability to satisfy and continue to satisfy

589. Final Notice 2017: Finance Made Simple Ltd [pdf]

     Final notices Published: 02/03/2017
     This final notice refers to breaches of COND and PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a refusal.

590. Final notice 2020: SCI Group UK Limited [pdf]

     Final notices Published: 17/04/2020
     This final notice (SCI Group UK Limited) refers to an applicant applying under section 55A of the Financial Services and Markets Act 2000 for Part 4A permission to carry on a regulated activity. The applicant failed to satisfy the Threshold