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Showing 41 to 50 of 3022 search results for This Final Notice refers.

  1. Final Notice 2017: M V Autos [pdf]

    Final notices Published: 23/06/2017
    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. FCA Final Notice 2013: Westwood Independent Financial Planners [pdf]

    Final notices Published: 17/12/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 7, PRIN 9 and COBS related to mis-selling and unfair treatment of customers in the investment advisers and platforms sector. We imposed a fine.
  3. Final Notice 2022: BGC Brokers LP, GFI Securities Limited and GFI Brokers Limited [pdf]

    Final notices Published: 08/12/2022
    This Final Notice refers to breaches of Principle 3 of the FCA’s Principles for Businesses and Article 16(2) of the Market Abuse Regulation related to market protection and wholesale conduct in the Trading Firm sector. We imposed a financial
  4. Final Notice 2021: Premier FX Limited [pdf]

    Final notices Published: 25/02/2021
    This Final Notice refers to breaches of the Payment Services Regulations in the Payment Services sector. We imposed a public censure.
  5. Final Notice 2017: Tesco plc [pdf]

    Final notices Published: 28/03/2017
    This final notice refers to breaches of s.118(7) related to market abuse in the issuer sector. We imposed a restitution.
  6. Final Notice 2018: Ian Murray [pdf]

    Final notices Published: 26/06/2018
    This final notice
  7. Final Notice 2024: Paul Ulliott [pdf]

    Final notices Published: 15/01/2024
    This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.
  8. Final Notice 2023: Mr Paul Steel [pdf]

    Final notices Published: 04/07/2023
    This Final Notice refers to breaches of APER 1, 2 and 4, and COCON 1 and 3 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We imposed a financial penalty and a prohibition.
  9. Final notice 2016: Mark Kelly [pdf]

    Final notices Published: 09/06/2016 Last modified: 09/06/2016
    This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.
  10. Final notice 2016: Nasser Yusuf trading as Advance Money Management [pdf]

    Final notices Published: 09/05/2016 Last modified: 09/05/2016
    This final notice refers to breaches of COND related to Threshold conditions in the consumer credit sector. We imposed a refusal.