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Showing 741 to 750 of 1719 search results for final notice refers to breaches of COND.

741. FCA Final Notice 2014: Ewan King [pdf]

     Final notices Published: 30/01/2014 Last modified: 19/05/2015
     This final notice refers to breaches of PRIN 1 related to lack of fitness/propriety in the investment adviser sector. We imposed a fine and a prohibition.

742. Final notice 2016: Patrick Gray [pdf]

     Final notices Published: 09/06/2016 Last modified: 09/06/2016
     This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

743. Final notice 2024: Etemaad Money Transfere Ltd [pdf]

     Final notices Published: 18/04/2024
     This final notice refers to breaches of Payment Services Regulations 2017 related to a failure to meet the conditions of registration. We imposed a cancellation.

744. Final notice 2016: Mr Paul White [pdf]

     Final notices Published: 12/04/2016 Last modified: 12/04/2016
     This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment bank sector. We imposed a prohibition and public censure.

745. FCA Final Notice 2013: Ahmed Ali [pdf]

     Final notices Published: 08/08/2013 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.

746. Final Notice 2019: S J Quality Used Cars (Joseph Ansell trading as) [pdf]

     Final notices Published: 02/10/2019
     This final notice (S J Quality Used Cars (Joseph Ansell trading as)) refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the consumer credit sector. We imposed a

747. Final Notice 2021: Premier FX Limited [pdf]

     Final notices Published: 25/02/2021
     This Final Notice refers to breaches of the Payment Services Regulations in the Payment Services sector. We imposed a public censure.

748. Final Notice 2017: Ian Foden [pdf]

     Final notices Published: 23/06/2017
     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.

749. Final Notice 2020: Goldman Sachs International (GSI) [pdf]

     Final notices Published: 22/10/2020 Last modified: 22/10/2020
     This Final Notice refers to breaches of PRIN 2 and PRIN 3 related to wholesale conduct in the investment bank sector. We imposed a financial penalty.

750. Final notice 2016: Jawad Khan [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.