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Showing 711 to 720 of 1209 search results for final notice refers to breaches of COND related.
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Final Notice 2017: Mervyn Johnston [pdf]
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. -
Final Notice 2017: William Connolly [pdf]
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. -
FCA Final Notice 2014: Coffin Insurance Services [pdf]
This Final Notice refers to breaches of Principle 11 related to threshold conditions in the general insurance and protection sector. We imposed a cancellation. -
FCA Final Notice 2014: Codeway Finance Limited [pdf]
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. -
Final Notice 2017: Marvin Patterson [pdf]
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. -
Final Notice 2017: Swift Transfer Limited [pdf]
This final notice refers to breaches of PSR related to failing to be open and cooperative in the payment services sector. We imposed a cancellation. -
Final Notice 2019: Freddy David [pdf]
This final notice refers to breaches of FIT related to financial crime (Freddy David), client money/assets and a lack of fitness and propriety in the investment adviser sector. We imposed a prohibition. -
Final Notice 2016: Peter Roy Alexander [pdf]
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. -
Final notice 2016: Tellaw (UK) Limited [pdf]
This final notice refers to breaches of the Electronic Money Regulations 2011, Regulation 13, related to initial capital, business plan, safeguarding, lack of fitness and propriety, and failing to be open and co-operative with the Authority. We -
FCA Final Notice 2013: Vandana Madhukar Parikh [pdf]
This final notice refers to breaches of APER 2 related to lack of fitness/propriety in the trading firms sector. We imposed a fine.