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Showing 461 to 470 of 1209 search results for final notice refers to breaches of COND related.

461. Final Notice 2018: Alex Hope [pdf]

     Final notices Published: 07/03/2018
     This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment sector. We imposed a prohibition.

462. Final Notice 2017: Reuben Cunningham [pdf]

     Final notices Published: 31/03/2017
     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.

463. Final Notice 2015: Cashsense Limited [pdf]

     Final notices Published: 10/06/2015 Last modified: 10/06/2015
     This final notice refers to breaches of PSR related to Payment Services Regulations and failing to be open and co-operative in the payment services sector. We imposed a cancellation.

464. FCA Final Notice 2013: Khyber Travel & Exchange Limited [pdf]

     Final notices Published: 04/09/2013 Last modified: 07/04/2015
     This final notice refers to breaches of PSR related to lack of fitness, propriety, failing to be open and co-operative in the payment services sector. We imposed a refusal.

465. Final Notice 2017: Raj Von Badlo [pdf]

     Final notices Published: 20/02/2017
     This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

466. FCA Final Notice 2013: Kiskidee Limited [pdf]

     Final notices Published: 19/07/2013 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.

467. Final Notice 2019: David John Mills [pdf]

     Final notices Published: 21/06/2019
     This final notice refers to breaches of FIT related to a lack of fitness/propriety. We imposed a prohibition.

468. Final Notice 2015: Stephen Allen [pdf]

     Final notices Published: 16/04/2015 Last modified: 16/04/2015
     This final notice refers to breaches of FIT related to lack of fitness and propriety and failing to be open and co-operative in the general insurance and protection sector. We imposed a prohibition.

469. FCA Final Notice 2014: Investments Limited [pdf]

     Final notices Published: 23/07/2014 Last modified: 13/03/2015
     This final notice refers to breaches of PRIN 3 and SYSC related to culture/goverence in the investment adviser sector. We imposed a public censure, suspension, and restriction.

470. FCA Final Notice 2014: Abdul Razzaq [pdf]

     Final notices Published: 14/08/2014 Last modified: 07/04/2015
     This final notice refers to breaches of FIT related to financial crime, client money/assets, failing to be open and co-operative, and lack of fitness/propriety in the mortgages sector. We imposed a prohibition.