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Showing 241 to 250 of 2139 search results for final notice refers to breaches.

241. FCA Final Notice 2014: Douglas Carroll trading as City and Chartered Mortgage Services [pdf]

     Final notices Published: 28/08/2014 Last modified: 07/04/2015
     This final notice refers to breaches of TC and SUP 16 related to transaction reporting in the general insurance and protection sector. We imposed a withdrawal.

242. FCA Final Notice 2013: Sovereign Worldwide Limited [pdf]

     Final notices Published: 04/07/2013 Last modified: 07/04/2015
     This final notice refers to breaches of COND related to threshold conditions and mortgage fraud in the investment advisers and platforms sector. We imposed a withdrawal.

243. Final Notice 2022: Paul Seakens [pdf]

     Final notices Published: 14/01/2022
     This Final Notice refers to breaches of FIT by an investment platform operator. We imposed a prohibition.

244. Final Notice 2015: Ghanshyam Sarup Batra [pdf]

     Final notices Published: 07/08/2015 Last modified: 07/08/2015
     This final notice refers to breaches of FIT, APER 1, APER 4 related to lack of fitness/propriety and failing to be open and co-operative in the mortgages sector. We imposed a prohibition and a withdrawal.

245. Final Notice 2017: Lukhvir Thind [pdf]

     Final notices Published: 07/04/2017
     This final notice refers to breaches of s.118(7) Financial Services and Markets Act 2000 and FIT related to market abuse, a lack of fitness/propriety and client money/assets in the trading firm sector. We imposed a fine and prohibition.

246. Final Notice 2022: Citigroup Global Markets Limited [pdf]

     Final notices Published: 19/08/2022
     This Final Notice refers to breaches of Principle 2 of the FCA’s Principles for Businesses and Article 16(2) of the Market Abuse Regulation related to market protection and wholesale conduct in the Investment Banking and Trading Firm sector. We

247. 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.” 

248. Final notice 2016: Solutions on Call Limited [pdf]

     Final notices Published: 21/01/2016 Last modified: 21/01/2016
     This final notice refers to breaches of Principle 11 related to Threshold Conditions and failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

249. Final Notice 2018: Alex Hope [pdf]

     Final notices Published: 07/03/2018
     This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment sector. We imposed a prohibition.

250. FCA Final Notice 2014: Investments Limited [pdf]

     Final notices Published: 23/07/2014 Last modified: 13/03/2015
     This final notice refers to breaches of PRIN 3 and SYSC related to culture/goverence in the investment adviser sector. We imposed a public censure, suspension, and restriction.