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Showing 31 to 40 of 2470 search results for This Final Notice refers.

  1. Final Notice 2017: Reuben Cunningham [pdf]

    Final notices Published: 31/03/2017
    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.
  2. Final notice 2016: Anthony Burton [pdf]

    Final notices Published: 27/10/2016
    This final notice refers to breaches of PRIN 11 and SUP related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.
  3. Final Notice 2018: Ian Murray [pdf]

    Final notices Published: 26/06/2018
    This FCA final notice (Ian Murray)
  4. Final Notice 2017: Muhammad Abdullah [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.
  5. Final Notice 2017: Lukhvir Thind [pdf]

    Final notices Published: 07/04/2017
    This final notice refers to breaches of s.118(7) Financial Services and Markets Act 2000 and FIT related to market abuse, a lack of fitness/propriety and client money/assets in the trading firm sector. We imposed a fine and prohibition.
  6. Final notice 2016: Mr Adam Harris trading as BM Motors [pdf]

    Final notices Published: 10/10/2016
    This final notice refers to breaches of PRIN 11 and COND related to failing to be open and co-operative in the consumer credit sector. We imposed a refusal.
  7. Final Notice 2016: Warmcool Limited [pdf]

    Final notices Published: 13/12/2016
    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. 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.
  9. Final Notice 2017: Reuben Anderson [pdf]

    Final notices Published: 24/01/2017
    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.
  10. Final Notice 2017: Niall O’Kelly [pdf]

    Final notices Published: 07/04/2017
    This final notice refers to breaches of s.118(7) Financial Services and Markets Act 2000 and FIT related to market abuse, a lack of fitness/propriety and client money/assets in the trading firm sector. We imposed a fine and prohibition.