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Showing 991 to 1000 of 1719 search results for final notice refers to breaches of COND.
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Final Notice 2017: Vicarge Autos Ltd [pdf]
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. -
FCA Final Notice 2013: Ali Parvez Shaikh [pdf]
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. -
Final Notice 2015: Kweku Mawuli Adoboli [pdf]
This final notice refers to breaches of FIT related to lack of fitness/propriety in the investment bank sector. We imposed a prohibition. -
Final Notice 2017: Adam Lancelot [pdf]
This final notice refers to breaches of FIT related to lack of fitness/propriety in the Investment Adviser sector. We imposed a prohibition. -
Final Notice 2017: Matt-Pack Limited [pdf]
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. -
Final Notice 2017: Lee Paul Fishwick [pdf]
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. -
Final Notice 2023: Zereen Money Limited [pdf]
This final notice refers to breaches of payment services regulations (PSR) related to failing to be open and co-operative in the payment services sector. We imposed a cancellation. -
Final Notice 2020: J.B. Wilcock Insurance (Kenneth Melvin Pickles trading as) [pdf]
This final notice (J.B. Wilcock Insurance (Kenneth Melvin Pickles 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, -
Final Notice 2022: Carlo Palombo [pdf]
This Final Notice refers to Mr Palombo’s fitness and propriety to perform a regulated function, following his conviction for conspiracy to defraud. We have prohibited Mr Palombo from performing any function in relation to a regulated activity. -
FCA Final Notice 2014: Mark Ian Warner trading as Advanced Financial Management [pdf]
This final notice refers to breaches of PRIN 11 related to threshold conditions in the investment advisor sector. We imposed an OIVOP and a cancellation.