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Showing 781 to 790 of 1719 search results for final notice refers to breaches of COND.

781. FCA Final Notice 2013: Westwood Independent Financial Planners [pdf]

     Final notices Published: 17/12/2013 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 7, PRIN 9 and COBS related to mis-selling and unfair treatment of customers in the investment advisers and platforms sector. We imposed a fine.

782. Final Notice 2019: Pitshop Motors (Swindon) Ltd [pdf]

     Final notices Published: 25/07/2019
     This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in

783. Final notice 2016: Peter Charles Johnson [pdf]

     Final notices Published: 31/08/2016 Last modified: 31/08/2016
     This final notice refers to breaches of FIT related to benchmarks, a lack of fitness/propriety and wholesale conduct in the retail bank sector. We imposed a prohibition.

784. FCA Final Notice 2013: Norest Chari [pdf]

     Final notices Published: 02/07/2013 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.

785. FCA Final Notice 2013: Nasir Sarwar [pdf]

     Final notices Published: 03/10/2013 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.

786. FCA Final Notice 2013: Abdul Majeed [pdf]

     Final notices Published: 05/08/2013 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.

787. FCA Final Notice 2014: Sultan Ahmed [pdf]

     Final notices Published: 20/06/2014 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.

788. FCA Final Notice 2013: Fokrul Islam [pdf]

     Final notices Published: 11/11/2013 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.

789. Final Notice: Richard Clay [pdf]

     Final notices Published: 25/10/2016
     This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

790. Final Notice 2024: Paul Ulliott [pdf]

     Final notices Published: 15/01/2024
     This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.