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Showing 121 to 130 of 1273 search results for final notice refers to breaches of s.118.

  1. Final Notice 2021: Sapien Capital Limited [pdf]

    Final notices Published: 06/05/2021
    This Final Notice (Sapien Capital Limited) refers to breaches of PRIN 2 and PRIN 3 related to the risk of financial crime in the trading firms sector. We imposed a financial penalty.

  2. 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).

  3. Final Notice 2022: JLT Specialty Limited [pdf]

    Final notices Published: 22/06/2022
    This Final Notice (JLT Speciliaty Limited) refers to breaches of PRIN 3 related to anti-bribery and corruption and financial crime in the general insurance and protection sector. We imposed a financial penalty.

  4. FCA Final Notice 2014: Michael Bains [pdf]

    Final notices Published: 06/01/2014 Last modified: 07/04/2015
    This final notice refers to breaches of FIT related to lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

  5. Final Notice 2016: Iain Strang [pdf]

    Final notices Published: 25/11/2016
    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.

  6. Final Notice 2017: Ashby Sales [pdf]

    Final notices Published: 02/05/2017
    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.

  7. FCA Final Notice 2014: Mark Stevenson [pdf]

    Final notices Published: 20/03/2014 Last modified: 07/04/2015
    This final notice refers to breaches of MAR related to market abuse in the investment banks sector. We imposed a fine and prohibition.

  8. Final notice 2016: Abbas Khan trading as Parry Lane Services [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.

  9. Final notice 2016: Simon Wright [pdf]

    Final notices Published: 25/02/2016 Last modified: 25/02/2016
    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.

  10. Final notice 2016: John Sanders [pdf]

    Final notices Published: 25/02/2016 Last modified: 25/02/2016
    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.