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Showing 1031 to 1040 of 1719 search results for final notice refers to breaches of COND.

1031. FCA Final Notice 2013: Horn Express Ltd (formerly Qaran Express Money Transfer Limited) [pdf]

      Final notices Published: 30/04/2013 Last modified: 07/04/2015
      This final notice refers to breaches of PSR related to client money/assets in the payment services sector. We imposed a public censure.

1032. Final Notice 2017: Nazia Naweed Shah [pdf]

      Final notices Published: 14/03/2017
      This final notice refers to breaches of PSR related to failing to be open and cooperative in the payment services sector. We imposed a cancellation.

1033. Final Notice 2018: David Lloyd [pdf]

      Final notices Published: 08/05/2018
      This final notice (David Lloyd) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

1034. Final Notice 2019: Minstrel Ltd [pdf]

      Final notices Published: 16/10/2019
      This final notice (Minstrel Ltd) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

1035. FCA Final Notice 2013: John Patrick Morris [pdf]

      Final notices Published: 15/08/2013 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 cancellation.

1036. FCA Final Notice 2014: Michael Stanley Hirst [pdf]

      Final notices Published: 12/12/2014 Last modified: 12/12/2014
      This final notice refers to breaches of FIT related to lack of fitness/propriety in the investment advisor sector. We imposed a prohibition.

1037. Final notice 2016: Trevor John Fry [pdf]

      Final notices Published: 30/06/2016 Last modified: 30/06/2016
      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.

1038. Final notice 2016: Elizabeth Anne Parry [pdf]

      Final notices Published: 01/09/2016
      This final notice refers to breaches of APER 1 and FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a fine and prohibition.

1039. Final Notice 2018: Polmaise Community Credit Union Limited [pdf]

      Final notices Published: 29/03/2018
      This final notice refers to breaches of Principle 11 related to failing to be open and co-operative in the credit union sector. We imposed a cancellation.

1040. Final Notice 2020: Carl Brookes [pdf]

      Final notices Published: 30/09/2020 Last modified: 30/09/2020
      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.