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Showing 31 to 40 of 3022 search results for This Final Notice refers.

  1. 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.
  2. FCA Final Notice 2014: Doditel Limited [pdf]

    Final notices Published: 19/05/2014 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.
  3. Final Notice 2022: Bellamachina Ltd [pdf]

    Final notices Published: 20/12/2022 Last modified: 01/03/2023
    This final notice refers to a failure to satisfy the suitability threshold condition (COND).
  4. Final Notice 2020: Goldman Sachs International (GSI) [pdf]

    Final notices Published: 22/10/2020 Last modified: 22/10/2020
    This Final Notice refers to breaches of PRIN 2 and PRIN 3 related to wholesale conduct in the investment bank sector. We imposed a financial penalty.
  5. Final Notice 2015: Salam Transfer 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 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
  6. Final notice 2016: BN1 Cars Ltd [pdf]

    Final notices Published: 24/03/2016 Last modified: 24/03/2016
    This final notice refers to breaches of COND and TC, failing to be open and co-operative. We imposed a refusal.
  7. Final notice 2016: David Michael Sayer trading as D M Sayer and Co (Insurance) [pdf]

    Final notices Published: 15/04/2016 Last modified: 15/04/2016
    This final notice refers to breaches of PRIN 11 and COND related to failing to be open and cooperative and threshold conditions in the general insurance and protection sector. We imposed a cancellation.
  8. 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.
  9. FCA Final Notice 2013: Coöperatieve Centrale Raiffeisen–Boerenleenbank B.A. (Rabobank) [pdf]

    Final notices Published: 29/10/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 2, PRIN 3, and PRIN 5 related to benchmarks in the investment banks sector. We imposed a fine.
  10. Final notice 2016: Veena Bhandari [pdf]

    Final notices Published: 26/01/2016 Last modified: 26/01/2016
    This final notice refers to a candidate for approval to perform controlled functions. The candidate did not satisfy us that they met the competence & capability criteria of the FCA’s Fit and Proper Person Test. We refused the application.