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Showing 81 to 90 of 1496 search results for This Final Notice refers to breaches of the Conduct.
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Final Notice 2021: Derek Hamilton [pdf]
This final notice (Derek Hamiliton) refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority PRIN 11 in the consumer credit sector. We imposed a cancellation. -
Final Notice 2019: Paul Stephany [pdf]
This Final Notice (Paul Stephany) refers to breaches by an individual of Statement of Principle 2 and 3 relating to failing to observe proper standards of market conduct and failing to act with due skill, care and diligence in the asset management -
Final Notice 2021: Ron Treherne IFA Ltd [pdf]
This Final Notice (Ron Treherne IFA Ltd) refers to breaches of COND, PRIN 6 and PRIN 11 by a financial adviser. We imposed a cancellation of the adviser’s Part 4A permission. -
Final Notice 2022: John Gordon (trading as Magic Cycles) [pdf]
This final notice (John Gordon - trading as Magic Cycles) refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the consumer credit sector. We imposed a cancellation. -
Final Notice 2023: Brian Hamilton [pdf]
This final notice (Brian Hamilton) refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in relation to a firm within the Temporary Permissions Regime. We imposed a -
Final Notice 2023: Autofinch Limited [pdf]
This final notice (Autofinch Limited) refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the consumer credit sector. We imposed a cancellation. -
Final notice 2024: Etemaad Money Transfere Ltd [pdf]
This final notice refers to breaches of Payment Services Regulations 2017 related to a failure to meet the conditions of registration. We imposed a cancellation. -
Final Notice 2023: Smilewise Limited [pdf]
This final notice refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the consumer credit sector. We imposed a cancellation. -
FCA Final Notice 2013: JPMorgan Chase Bank, N.A. [pdf]
This final notice refers to breaches of PRIN 2, PRIN 3, PRIN 5, and PRIN 11 related to wholesale conduct, market protection, and failing to be open and co-operative in the investment banks sector. We imposed a fine. -
Final Notice 2022: Lyonnaise De Banque [pdf]
This final notice (Lyonnaise De Banque) refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative (PRIN 11) in relation to a firm within the TPR. We imposed a cancellation.