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Showing 431 to 440 of 1294 search results for final notice refers to breaches of MAR.

  1. FCA Final Notice 2013: Horn Express Ltd (formerly Qaran Express Money Transfer Limited) [pdf]

    Final notices Published: 30/04/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PSR related to client money/assets in the payment services sector. We imposed a public censure.

  2. Final Notice 2017: Nazia Naweed Shah [pdf]

    Final notices Published: 14/03/2017
    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.

  3. Final Notice 2022: Pembrokeshire Mortgage Centre Limited (trading as County Financial Consultants) (in liquidation) [pdf]

    Final notices Published: 02/12/2022
    This Final Notice (Pembrokeshire Mortgage Centre Limited (trading as County Financial Consultants)) refers to breaches of Principles 3, 7 and 9 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We

  4. Final Notice 2018: David Lloyd [pdf]

    Final notices Published: 08/05/2018
    This final notice (David Lloyd) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  5. Final Notice 2020: Carl Brookes [pdf]

    Final notices Published: 30/09/2020 Last modified: 30/09/2020
    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.

  6. Final Notice 2019: Minstrel Ltd [pdf]

    Final notices Published: 16/10/2019
    This final notice (Minstrel Ltd) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

  7. Final notice 2016: Trevor John Fry [pdf]

    Final notices Published: 30/06/2016 Last modified: 30/06/2016
    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.

  8. Final Notice 2017: MGV Motors (Gintare Varinauskiene trading as) [pdf]

    Final notices Published: 24/05/2017
    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.

  9. FCA Final Notice 2013: John Patrick Morris [pdf]

    Final notices Published: 15/08/2013 Last modified: 07/04/2015
    This final notice refers to breaches of TC related to threshold conditions in the general insurance and protection sector. We imposed a OIVOP and cancellation.

  10. Final notice 2016: Elizabeth Anne Parry [pdf]

    Final notices Published: 01/09/2016
    This final notice refers to breaches of APER 1 and FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a fine and prohibition.
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