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Showing 431 to 440 of 1209 search results for final notice refers to breaches of COND related.

  1. Final Notice 2015: Lee Bruce Stewart [pdf]

    Final notices Published: 30/07/2015 Last modified: 30/07/2015
    This final notice refers to breaches of FIT related to lack of fitness/propriety in the trading firms sector. We imposed a prohibition.

  2. Final Notice 2016: MailServe Limited [pdf]

    Final notices Published: 21/11/2016
    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.

  3. FCA Final Notice 2014: David Welsby [pdf]

    Final notices Published: 09/10/2014 Last modified: 07/04/2015
    This final notice refers to breaches of APER 1 related to client money/assets in the asset management sector. We imposed a fine, withdrawal and a prohibition.

  4. FCA Final Notice 2013: Mr Andrew Jeffery [pdf]

    Final notices Published: 23/08/2013 Last modified: 07/04/2015
    This final notice refers to breaches of APER1 and APER4 related to insurance fraud in the general insurance and protection sector. We imposed a fine and a prohibition order.

  5. FCA Final Notice 2013: Sesame Limited [pdf]

    Final notices Published: 05/06/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 3 and PRIN 9 related to mis-selling, and appointed representatives in the investment advisers and platforms sector. We imposed a fine.

  6. FCA Final Notice 2014: Vasavan Thambhiah [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.

  7. Final Notice 2016: Bradley Bailey [pdf]

    Final notices Published: 26/10/2016
    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.

  8. Final Notice 2016: Mohammed Wajid [pdf]

    Final notices Published: 26/10/2016
    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.

  9. Final Notice 2017: John Abbott [pdf]

    Final notices Published: 28/02/2017
    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.

  10. Final Notice 2015: Bank of Beirut (UK) Ltd [pdf]

    Final notices Published: 05/03/2015 Last modified: 05/03/2015
    This final notice refers to breaches of PRIN 11 related to financial crime risks and failure to be open and cooperative with the Authority. We imposed a fine and a restriction.
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