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Showing 291 to 300 of 1209 search results for final notice refers to breaches of COND related.

291. Final notice 2016: Mark Kelly [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.

292. FCA Final Notice 2013: Minona LLP [pdf]

     Final notices Published: 02/07/2013 Last modified: 07/04/2015
     This Final Notice refers to breaches of PRIN 11 related to threshold conditions in the asset management sector. We imposed a cancellation.

293. FCA Final Notice 2013: Foneshield (UK) Limited [pdf]

     Final notices Published: 26/07/2013 Last modified: 07/04/2015
     This Final Notice refers to breaches of PRIN 11 related to threshold conditions in the general insurance and protection sector. We imposed a cancellation.

294. Final notice 2016: Volpe Capital Management LLP [pdf]

     Final notices Published: 13/07/2016 Last modified: 21/07/2016
     This final notice refers to a breach of PRIN 11 related to failing to be open and co-operative in the investment adviser sector. We imposed a cancellation.

295. Final notice 2016: H Finnikin [pdf]

     Final notices Published: 21/07/2016 Last modified: 21/07/2016
     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.

296. Final notice 2016: Ashbank Cars [pdf]

     Final notices Published: 02/06/2016 Last modified: 02/06/2016
     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.

297. Final notice 2016: Mark Thorogood [pdf]

     Final notices Published: 12/01/2016 Last modified: 12/01/2016
     This final notice refers to breaches of FIT related to a lack of fitness/propriety and mortgage fraud in the mortgages sector. We imposed a refusal.

298. FCA Final Notice 2013: John Dixon [pdf]

     Final notices Published: 03/06/2013 Last modified: 07/04/2015
     This Final Notice refers to breaches of PRIN 11 related to threshold conditions in the investment advisors & platforms sector. We imposed a cancellation.

299. FCA Final Notice 2013: Westwind UK Limited [pdf]

     Final notices Published: 21/06/2013 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.

300. FCA Final Notice 2013: Policy Administration Services Limited [pdf]

     Final notices Published: 03/07/2013 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 3 and 6 related to complaints-handling, and the unfair treatment of customers in the general insurance and protection sector. We imposed a fine.