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Showing 731 to 740 of 1209 search results for final notice refers to breaches of COND related.

  1. FCA Final Notice 2014: Provident Equity Limited [pdf]

    Final notices Published: 18/03/2014 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.

  2. FCA Final Notice 2014: Pritchard Stockbrokers Limited (In Special Administration) [pdf]

    Final notices Published: 09/10/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 1, PRIN 2, PRIN 10 related to client money/assets in the asset management sector. We imposed a public censure.

  3. FCA Final Notice 2014: Abacus Transfers Limited [pdf]

    Final notices Published: 24/07/2014 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 services sector. We imposed a cancellation.

  4. Final Notice: Steven Smith [pdf]

    Final notices Published: 12/10/2016
    This final notice refers to breaches of APER 6 and PRIN 3 (knowingly concerned) related to financial crime and a lack of fitness/propriety in the retail bank sector. We imposed a fine and prohibition.

  5. Final Notice 2022: Andrew Mark Thomas Page [pdf]

    Final notices Published: 17/05/2022
    This Final Notice (Andrew Mark Thomas Page) refers to breaches of APER 1 and FIT related to a lack of fitness/propriety, mis-selling and failing to be open and co-operative in the investment adviser and pensions sector. We imposed a prohibition and

  6. Final notice 2017: Paul Axel Walter [pdf]

    Final notices Published: 22/11/2017
    This final notice refers to breaches of section 118 FSMA related to market abuse in the trading firm sector. We imposed a financial penalty.

  7. FCA Final Notice 2013: Leader Transfer 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.

  8. Final Notice 2019: Gary Jackson [pdf]

    Final notices Published: 16/09/2019
    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.

  9. Final Notice 2016: Macauley Myers Limited [pdf]

    Final notices Published: 13/12/2016
    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.

  10. Final Notice: Gemmax Solutions Limited [pdf]

    Final notices Published: 22/09/2016
    This final notice refers to breaches of PSR related to failing to be open and co-operative and payment services regulations in the payment services sector. We imposed a cancellation.
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