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Showing 801 to 810 of 1719 search results for final notice refers to breaches of COND.

801. FCA Final Notice 2013: Omar Sohail Zaman (trading as Worldwide Money Exchange) [pdf]

     Final notices Published: 07/08/2013 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.

802. Final Notice 2015: Magnus Michael Peterson [pdf]

     Final notices Published: 26/10/2015 Last modified: 26/10/2015
     This Final Notice refers to breaches of FIT related to lack of fitness/propriety in the investment advisor sector. We imposed a prohibition.

803. FCA Final Notice 2014: JPMorgan Chase Bank N.A. [pdf]

     Final notices Published: 12/11/2014 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 3 related to wholesale conduct and benchmarks in the investment bank sector. We imposed a fine.

804. FCA Final Notice 2013: UK Paymaster Limited [pdf]

     Final notices Published: 05/12/2013 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.

805. Final Notice 2017: Stephen Duffy [pdf]

     Final notices Published: 04/07/2017
     This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

806. FCA Final Notice 2014: Royal Bank of Scotland plc and National Westminster Bank Plc [pdf]

     Final notices Published: 27/08/2014 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 2, PRIN 9, and MCOB related to mis-selling in the retail bank sector. We imposed a fine.

807. Final Notice 2017: Philip Gee [pdf]

     Final notices Published: 29/03/2017
     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.

808. FCA Final Notice 2014: Besso Limited [pdf]

     Final notices Published: 19/03/2014 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 3 related to anti-Bribery and corruption in the general insurance and protection sector. We imposed a fine.

809. FCA Final Notice 2014: UK2PK Limited [pdf]

     Final notices Published: 14/08/2014 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 services sector. We imposed a cancellation.

810. Final Notice 2019: KWH (Heating & Renewables) Ltd [pdf]

     Final notices Published: 23/08/2019 Last modified: 23/08/2019
     This final notice 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 cancellation.