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Showing 641 to 650 of 1209 search results for final notice refers to breaches of COND related.

  1. Final Notice 2019: Lynden Gerard Scourfield [pdf]

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

  2. Final Notice 2016: Get Paid Limited [pdf]

    Final notices Published: 06/09/2016
    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. Final Notice 2015: Badruzzaman Choudhury [pdf]

    Final notices Published: 17/08/2015 Last modified: 17/08/2015
    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.

  4. Final notice 2016: Shay Jacob Reches [pdf]

    Final notices Published: 01/02/2016 Last modified: 01/02/2016
    This final notice refers to breaches of section 63A and FIT related to appointed representatives, failing to be open and co-operative, client money, lack of fitness/propriety and unfair treatment of customers in the general insurance and protection

  5. Final Notice 2017: Guy Pascoe [pdf]

    Final notices Published: 04/09/2017
    This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the general insurance and protection and consumer credit sector. We imposed a cancellation.

  6. Final Notice 2017: Claudia Vida [pdf]

    Final notices Published: 30/08/2017
    This final notice refers to breaches of Principle 11 and SUP related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  7. Final notice 2020: Exigotrade Ltd [pdf]

    Final notices Published: 28/01/2020
    This final notice (Exigotrade Ltd) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

  8. Final notice 2016: Parvin Oghabi Sajjadi [pdf]

    Final notices Published: 25/02/2016 Last modified: 25/02/2016
    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. FCA Final Notice 2013: ICAP Europe Ltd [pdf]

    Final notices Published: 25/09/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 3 and PRIN 5 related to wholesale conduct, benchmarks, and culture/governance in the trading firms sector. We imposed a fine.

  10. Final Notice 2017: Woodworks (Derby) Ltd [pdf]

    Final notices Published: 24/05/2017
    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.
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