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Showing 1281 to 1290 of 1719 search results for final notice refers to breaches of COND.

1281. Final Notice 2019: Jin-Yi Lee [pdf]

      Final notices Published: 25/07/2019
      This final notice (Jin-Yi Lee) refers to breaches of the Listing Principles and Disclosure Rules and Transparency Rules in the issuer sector. We imposed a financial penalty.

1282. Final Notice 2015: John Edward Duncan Field [pdf]

      Final notices Published: 15/07/2015 Last modified: 15/07/2015
      This final notice refers to breaches of FIT related to lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

1283. Final Notice 2017: Charles Palmer [pdf]

      Final notices Published: 19/09/2017
      This final notice refers to breaches of APER 6 and FIT related to appointed representatives/ networks, culture/governance, lack of fitness/propriety and unfair treatment of customers in the Investment Adviser sector. We imposed a fine and prohibition

1284. Final Notice 2015: Peter Charles Legerton [pdf]

      Final notices Published: 20/03/2015 Last modified: 20/03/2015
      This final notice refers to breaches of APER 7 and FIT related to mis-selling, lack of fitness/propriety, and conflicts of interests in the investment adviser sector. We imposed a public censure, withdrawal, and a prohibition.

1285. Final notice 2016: Wayne Anthony Redgrave [pdf]

      Final notices Published: 01/02/2016 Last modified: 01/02/2016
      This final notice refers to breaches of APER 6 and ICOBS related to appointed representatives, failing to act on information appropriately and unfair treatment of customers in the general insurance and protection sector. We imposed a fine.

1286. Final Notice 2017: Emrose Dean Ltd [pdf]

      Final notices Published: 21/08/2017
      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.

1287. Final Notice 2015: Stephen Edward Bell [pdf]

      Final notices Published: 13/03/2015 Last modified: 31/03/2015
      This final notice refers to breaches of PRIN 3 (knowing concern) and FIT related to the lack of fitness/propriety, culture/governance and appointed representatives in the general insurance and protection, investment adviser and platform sector. We

1288. Final Notice 2017: 21st Telecoms Limited [pdf]

      Final notices Published: 30/08/2017
      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.

1289. Final Notice 2022: Sumer 62 Ltd [pdf]

      Final notices Published: 14/01/2022
      This final notice refers to breaches of the PSR, related to failing to meet the conditions for registration in the payment systems sector. We imposed a cancellation.

1290. FCA Final Notice 2013: Nicholas Welsh & Co Limited [pdf]

      Final notices Published: 03/07/2013 Last modified: 07/04/2015
      This Final Notice refers to breaches of TC related to threshold conditions in the investment advisors & platforms sector. We imposed a cancellation.