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Showing 531 to 540 of 2139 search results for final notice refers to breaches.

  1. Final Notice 2016: Clarks of Garforth Limited [pdf]

    Final notices Published: 30/11/2016
    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.

  2. Final Notice 2017: Waterside Vehicles Ltd [pdf]

    Final notices Published: 10/04/2017
    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.

  3. FCA Final Notice 2014: Daniel James Plunkett [pdf]

    Final notices Published: 23/05/2014 Last modified: 07/04/2015
    This final notice refers to breaches of FIT, APER 1 and APER 3 related to lack of fitness and propriety, conflicts of interest in the investment banks sector. We imposed a prohibition and a fine.

  4. FCA Final Notice 2013: Nonwoven Solutions Limited [pdf]

    Final notices Published: 04/11/2013 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.

  5. FCA Final Notice 2014: Supercroft Trading Limited [pdf]

    Final notices Published: 11/08/2014 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 services sector. We imposed a cancellation.

  6. Final Notice 2017: Alt-P Limited [pdf]

    Final notices Published: 18/08/2017
    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.

  7. Final Notice 2016: Yesmar Restaurants Limited [pdf]

    Final notices Published: 17/11/2016
    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.

  8. Final Notice 2016: Bangla Express Limited [pdf]

    Final notices Published: 24/11/2016
    This final notice refers to breaches of PSR related to failing to be open and co-operative and payment services regulations in the payment services sector. We imposed a cancellation.

  9. Final Notice 2019: Kevin Gorman [pdf]

    Final notices Published: 20/12/2019
    This Final Notice refers to breaches of Article 19(1) of MAR related to failing to notify trading in shares to their issuer and the FCA as a PDMR in the issuer sector. We imposed a financial penalty.

  10. FCA Final Notice 2014: Andrew Charles Rees [pdf]

    Final notices Published: 17/04/2014 Last modified: 07/04/2015
    This final notice refers to breaches of APER 7 related to unfair treatment of customers, conflicts of interest, and lack of fitness/propriety in the investment advisors and platforms sector. We imposed a prohibition, withdrawal, and public censure.
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