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Showing 611 to 620 of 1209 search results for final notice refers to breaches of COND related.

611. FCA Final Notice 2013: Credit-2Go Limited [pdf]

     Final notices Published: 04/11/2013 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.

612. FCA Final Notice 2014: 7722656 Canada Inc formerly carrying on business as Swift Trade Inc [pdf]

     Final notices Published: 24/01/2014 Last modified: 07/04/2015
     This final notice refers to breaches of MAR related to market abuse in the trading firms sector. We imposed a fine.

613. Final Notice 2015: Nineveh Advisory Limited [pdf]

     Final notices Published: 13/01/2015 Last modified: 13/01/2015
     This final notice refers to breaches of Principle 11 related to threshold conditions in the investment adviser sector. We imposed a cancellation.

614. Final Notice 2015: Barclays Bank PLC - November 2015 [pdf]

     Final notices Published: 26/11/2015 Last modified: 26/11/2015
     This final notice refers to breaches of PRIN 2 related to financial crime failings. We imposed a fine.

615. Final notice 2016: Peter Charles Bottomley [pdf]

     Final notices Published: 08/03/2016 Last modified: 08/03/2016
     This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

616. Final Notice: Excel Leasing Limited [pdf]

     Final notices Published: 21/10/2016
     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.

617. Final Notice 2016: Remote Audit Ltd [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.

618. Final Notice 2015: Ghanshyam Sarup Batra [pdf]

     Final notices Published: 07/08/2015 Last modified: 07/08/2015
     This final notice refers to breaches of FIT, APER 1, APER 4 related to lack of fitness/propriety and failing to be open and co-operative in the mortgages sector. We imposed a prohibition and a withdrawal.

619. Final Notice 2018: Arif Hussein [pdf]

     Final notices Published: 23/08/2018
     This final notice refers to breaches of FIT related to lack of fitness/propriety and benchmarks in the investment bank sector. We imposed a prohibition.

620. Final Notice 2017: Charles Cook [pdf]

     Final notices Published: 09/10/2017
     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.