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Showing 691 to 700 of 1719 search results for final notice refers to breaches of COND.
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Final Notice 2017: Eastern Union Remittance and Exchange Limited [pdf]
This final notice refers to breaches of Principle 11 related to failing to be open and -
Final Notice 2020: Jarnail Singh Basran [pdf]
This final notice (Jarnail Singh Basran) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation. -
Final Notice 2016: Money Matcher Limited [pdf]
This final notice refers to an application for Part 4A authorisation (“the Application”) by a firm holding Interim Permission in respect of the regulated activities subject to the Application. Due to concerns about the firm’s ability to -
Final Notice 2013: Michael Coscia [pdf]
This final notice refers to breaches of MAR related to market abuse in the trading frims sector. We imposed a fine. -
Final Notice 2024: Paydog Ltd [pdf]
This Final Notice refers to a failure to carry on payment service activities. We imposed a cancellation. -
Final Notice 2023: Al Rayan Bank PLC [pdf]
This Final Notice refers to breaches of Principle 3 related to Financial Crime in the Retail Bank sector. We imposed a Financial Penalty. -
FCA Final Notice 2013: Mr Rahul Shah [pdf]
This final notice refers to breaches of MAR related to market abuse in the investment adviser sector. We imposed a fine and prohibition. -
Final Notice 2019: Vale Veterinary Group [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in -
Final Notice 2021: Anthony George [pdf]
This Final Notice (Anthony George) refers to breaches of FIT relating to a lack of fitness/propriety and failing to be open and co-operative in the life insurance and mortgages sector. We imposed a prohibition and a public censure. -
Final Notice 2019: Wedgwood Vehicle Solutions Limited [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in