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Showing 221 to 230 of 243 search results for final notice refers to breaches of FIT related to a lack.

  1. Final Notice 2022: Matthew Charles Kent [pdf]

    Final notices Published: 06/10/2022
    This Final Notice (Matthew Charles Kent) refers to breaches of APER 7 related to the failure to ensure compliance with PRIN 3 in the trading firms sector, which led to further breaches of SUP 17, SUP 15 and Article 16 of MAR. We imposed a financial

  2. Final Notice 2017: David Samuel Watters [pdf]

    Final notices Published: 14/07/2017
    This final notice refers to breaches of APER 6 related to a lack of competence in the pensions sector.

  3. Final Notice 2022: Stephen John Tomlin [pdf]

    Final notices Published: 06/10/2022
    This Final Notice (Stephen John Tomlin) refers to breaches of APER 7 and APER 6 related to the failure to ensure compliance oversight and compliance with PRIN 3 in the trading firms sector, which led to further breaches of SUP 17, SUP 15 and Article

  4. Final Notice 2015: Salam Transfer Limited [pdf]

    Final notices Published: 13/11/2015 Last modified: 13/11/2015
    This final notice refers to breaches of the Payment Services Regulations 2009 (the PSRs), Regulation 13, related to lack of fitness/propriety and failing to be open and cooperative with the Financial Conduct Authority. We imposed a refusal of the

  5. Final Notice 2018: Christian Bittar [pdf]

    Final notices Published: 14/09/2018
    This final notice refers to knowing concern in breaches of Principle 5 related to benchmark submissions. We imposed a prohibition.

  6. Final Notice 2022: Sigma Broking Limited [pdf]

    Final notices Published: 06/10/2022
    This Final Notice (Sigma Broking Limited) refers to breaches of SUP 17, SUP 15, PRIN 3 and Article 16 of MAR related to market abuse and transaction reporting failures in the trading firm sector. We imposed a financial penalty.

  7. FCA Final Notice 2013: Vandana Madhukar Parikh [pdf]

    Final notices Published: 06/08/2013 Last modified: 19/05/2015
    This final notice refers to breaches of APER 2 related to lack of fitness/propriety in the trading firms sector. We imposed a fine.

  8. Final Notice 2015: 15/1 Consumer credit application refusal [pdf]

    Final notices Published: 30/01/2015 Last modified: 30/01/2015
    This summary of a final notice refers to breaches of COND and TC related to lack of fitness/propriety and failing to be open and co-operative in the consumer credit sector. We imposed a refusal.

  9. Final notice 2016: Tellaw (UK) Limited [pdf]

    Final notices Published: 17/08/2016
    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

  10. Final notice 2015: Big T Media Limited [pdf]

    Final notices Published: 08/12/2015 Last modified: 08/12/2015
    The final notice refers to breaches of COND, CONC, PRIN 11, CASS, SYSC related to threshold conditions and failing to be open and co-operative in the consumer credit sector. We imposed a refusal.