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Showing 271 to 280 of 1294 search results for final notice refers to breaches of MAR.
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Final Notice 2015: Moorhouse Group Limited [pdf]
This final notice refers to breaches of PRIN 3 and PRIN 7 related to mis-selling and culture/governance in the general insurance and protection sector. We imposed a fine. -
Final Notice 2022: MHM Plant Group Limited [pdf]
This final notice (MHM Plant Group Limited) refers to a failure to satisfy threshold conditions (COND) in the credit broking sector. We refused the firm’s application for authorisation. -
Final Notice 2015: Salam Transfer Limited [pdf]
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 -
Final Notice 2015: Lee Bruce Stewart [pdf]
This final notice refers to breaches of FIT related to lack of fitness/propriety in the trading firms sector. We imposed a prohibition. -
Final Notice 2017: Reuben Anderson [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 2015: Mark Cleaver [pdf]
This final notice refers to breaches of COND, related to threshold conditions and failing to be open and co-operative in the general insurance intermediary sector. We imposed a cancellation. -
Final Notice 2015: Tariq Rashid [pdf]
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. -
FCA Final Notice 2013: Khyber Travel & Exchange Limited [pdf]
This final notice refers to breaches of PSR related to lack of fitness, propriety, failing to be open and co-operative in the payment services sector. We imposed a refusal. -
FCA Final Notice 2014: Abdul Razzaq [pdf]
This final notice refers to breaches of FIT related to financial crime, client money/assets, failing to be open and co-operative, and lack of fitness/propriety in the mortgages sector. We imposed a prohibition. -
Final Notice 2015: Stephen Allen [pdf]
This final notice refers to breaches of FIT related to lack of fitness and propriety and failing to be open and co-operative in the general insurance and protection sector. We imposed a prohibition.