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Showing 371 to 380 of 1209 search results for final notice refers to breaches of COND related.

371. Final notice 2016: Premier Dental Limited [pdf]

     Final notices Published: 03/03/2016 Last modified: 03/03/2016
     This final notice refers to breaches of Principle 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

372. 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.

373. FCA Final Notice 2014: The Royal Bank of Scotland Plc [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.

374. 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.

375. 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.

376. 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.

377. Final Notice: Kathryn Clark [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 and withdrawal.

378. Final Notice 2015: Rogerio Pinto [pdf]

     Final notices Published: 12/02/2015 Last modified: 02/04/2015
     This final notice refers to breaches of FIT related to lack of fitness and propriety in the trading firm sector. We imposed a refusal.

379. 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.

380. Final Notice 2017: Peyman Pakyari [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.