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Showing 1061 to 1070 of 1719 search results for final notice refers to breaches of COND.

1061. Final notice 2015: Vroni O'Brien [pdf]

      Final notices Published: 17/12/2015 Last modified: 17/12/2015
      This final notice refers to breaches of APER 2, APER 7, FIT and CASS related to a lack of fitness/propriety, client money/assets and failing to act on information appropriately in the general insurance and protection sector. We imposed a fine and

1062. Final Notice 2015: Robin Farrell [pdf]

      Final notices Published: 31/03/2015 Last modified: 31/03/2015
      This final notice refers to breaches of APER 1 and APER 7 related to conflicts of interests and lack of fitness/propriety in the investment advisor sector. We imposed a fine, withdrawal and prohibition.

1063. FCA Final Notice 2014: Jonathan Paul Burrows [pdf]

      Final notices Published: 15/12/2014 Last modified: 15/12/2014
      This final notice refers to breaches of FIT relating to a lack of fitness/propriety in the asset management sector. We imposed a prohibition.

1064. Final notice 2016: AKV Vehicles Limited [pdf]

      Final notices Published: 25/02/2016 Last modified: 25/02/2016
      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.

1065. Final Notice 2016: KMLM Ltd [pdf]

      Final notices Published: 22/11/2016
      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.

1066. Final Notice 2022: Luke Andrew Durrant [pdf]

      Final notices Published: 22/09/2022
      The Final Notice refers to breaches of FIT related to lack of fitness and proprietary in the General Insurance and Pensions sector. We imposed a prohibition.

1067. FCA Final Notice 2014: Leanne Marie Nicholson [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.

1068. Final Notice 2021: Shaffarat Parvez [pdf]

      Final notices Published: 08/10/2021
      This Final Notice (Shaffarat Parvez) refers to a failure to satisfy the Fit and Proper Test (FIT). We imposed a prohibition.

1069. Final Notice 2015: A A A Insurance Limited [pdf]

      Final notices Published: 12/10/2015 Last modified: 12/10/2015
      This final notice refers to breaches of PRIN 11 related to Threshold Conditions and failing to be open and co-operative in the general insurance and protection. We imposed a cancellation.

1070. Final Notice 2015: Paul Reynolds [pdf]

      Final notices Published: 20/05/2015 Last modified: 20/05/2015
      This final notice refers to breaches of APER 1 and FIT related to mis-selling and failing to be open and co-operative in the investment advisor sector. We imposed a fine and a prohibition.