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Showing 101 to 110 of 2062 search results for This Final Notice refers to breaches.

  1. Final Notice 2017: Eric Randle [pdf]

    Final notices Published: 12/04/2017
    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.

  2. Final Notice 2017: Steve Beaty [pdf]

    Final notices Published: 10/05/2017
    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.

  3. FCA Final Notice 2013: Norest Chari [pdf]

    Final notices Published: 02/07/2013 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.

  4. FCA Final Notice 2014: The Royal Bank of Scotland Plc [pdf]

    Final notices Published: 12/11/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 3 related to wholesale conduct and benchmarks in the investment bank sector. We imposed a fine.

  5. FCA Final Notice 2013: Nasir Sarwar [pdf]

    Final notices Published: 03/10/2013 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 systems sector. We imposed a cancellation.

  6. FCA Final Notice 2014: Mohsin Shahzad Khan [pdf]

    Final notices Published: 11/07/2014 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 systems sector. We imposed a cancellation.

  7. Final Notice 2015: Magnus Michael Peterson [pdf]

    Final notices Published: 26/10/2015 Last modified: 26/10/2015
    This Final Notice refers to breaches of FIT related to lack of fitness/propriety in the investment advisor sector. We imposed a prohibition.

  8. Final Notice 2015: Robin Choudhury [pdf]

    Final notices Published: 16/11/2015 Last modified: 16/11/2015
    This final notice refers to breaches of FIT related to lack of fitness/propriety in the general insurance and protection sector. We imposed a prohibition.

  9. Final notice 2015: Fast Track Money Transfer (UK) 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 6, related to failure to meet the conditions for authorisation. We imposed a refusal of the firm’s application for authorisation as a payment

  10. Final notice 2016: James Kirkwood [pdf]

    Final notices Published: 03/03/2016 Last modified: 03/03/2016
    This final notice refers to breaches of Principle 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.
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