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Showing 1121 to 1130 of 1719 search results for final notice refers to breaches of COND.

1121. FCA Final Notice 2013: Resolution FX Limited [pdf]

      Final notices Published: 06/08/2013 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 services sector. We imposed a cancellation.

1122. FCA Final Notice 2013: Mohammed Waheed Razaq [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.

1123. Final Notice 2017: Baildon Motor Company [pdf]

      Final notices Published: 25/01/2017
      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.

1124. Final Notice 2018: MTS Automotive (Manchester to Southampton LTD) [pdf]

      Final notices Published: 12/02/2018
      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.

1125. Final Notice 2017: Keith Pringle [pdf]

      Final notices Published: 10/05/2017
      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.

1126. Final Notice 2019: William Nelson [pdf]

      Final notices Published: 22/11/2019
      This final notice (William Nelson) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

1127. FCA Final Notice 2013: Montague Capital Limited [pdf]

      Final notices Published: 10/05/2013 Last modified: 07/04/2015
      This Final Notice refers to breaches of PRIN 11 related to threshold conditions in the asset management sector. We imposed a cancellation.

1128. Final Notice 2019: Guiseppe Oliverio [pdf]

      Final notices Published: 28/08/2019
      This final notice refers to breaches of FIT related to a lack of fitness/propriety in the private business adviser sector. We imposed a prohibition.

1129. Final Notice 2017: Voxsan Limited [pdf]

      Final notices Published: 19/10/2017
      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.

1130. Final Notice 2015: Robert Stephan Addison [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.