Search results

Showing 101 to 110 of 1294 search results for final notice refers to breaches of MAR.

101. Final notice 2016: Mark Kelly [pdf]

     Final notices Published: 09/06/2016 Last modified: 09/06/2016
     This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

102. Final Notice 2023: Simon Richard Hughes [pdf]

     Final notices Published: 03/10/2023
     This Final Notice (Simon Richard Hughes) refers to breaches of APER 2, 6 and 7 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We imposed a partial prohibition and withdrawal. A payment of

103. Final Notice 2022: Michael Mendonca Nascimento [pdf]

     Final notices Published: 28/04/2022
     This Final Notice (Michael Mendonca Nascimento) refers to breaches of FIT. We imposed a prohibition.

104. FCA Final Notice 2013: Minona LLP [pdf]

     Final notices Published: 02/07/2013 Last modified: 07/04/2015
     This Final Notice refers to breaches of PRIN 11 related to threshold conditions in the asset management sector. We imposed a cancellation.

105. FCA Final Notice 2013: Foneshield (UK) Limited [pdf]

     Final notices Published: 26/07/2013 Last modified: 07/04/2015
     This Final Notice refers to breaches of PRIN 11 related to threshold conditions in the general insurance and protection sector. We imposed a cancellation.

106. Final notice 2016: H Finnikin [pdf]

     Final notices Published: 21/07/2016 Last modified: 21/07/2016
     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.

107. FCA Final Notice 2013: Westwind UK Limited [pdf]

     Final notices Published: 21/06/2013 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 services sector. We imposed a cancellation.

108. Final Notice 2022: TFS Loans Ltd (in administration) [pdf]

     Final notices Published: 10/06/2022
     This Final Notice (TFS Loans Ltd in administration) refers to breaches of the Principle 6 and 3 and CONC related to the unfair treatment of customers acting as guarantors in the consumer credit sector. A financial penalty has been imposed and TFS

109. Final notice 2016: Ashbank Cars [pdf]

     Final notices Published: 02/06/2016 Last modified: 02/06/2016
     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.

110. FCA Final Notice 2013: John Dixon [pdf]

     Final notices Published: 03/06/2013 Last modified: 07/04/2015
     This Final Notice refers to breaches of PRIN 11 related to threshold conditions in the investment advisors & platforms sector. We imposed a cancellation.