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Showing 81 to 90 of 1270 search results for final notice refers to breaches of s.118.
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FCA Final Notice 2014: Ewan King [pdf]
This final notice refers to breaches of PRIN 1 related to lack of fitness/propriety in the investment adviser sector. We imposed a fine and a prohibition. -
FCA Final Notice 2013: John Dixon [pdf]
This Final Notice refers to breaches of PRIN 11 related to threshold conditions in the investment advisors & platforms sector. We imposed a cancellation. -
FCA Final Notice 2013: Ahmed Ali [pdf]
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. -
Final Notice 2017: Ian Foden [pdf]
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. -
Final notice 2016: Jawad Khan [pdf]
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. -
Final Notice 2017: Parm Milap [pdf]
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. -
Final Notice 2024: Paul Ulliott [pdf]
This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition. -
Final Notice 2022: Grahams Cars [pdf]
This final notice (Grahams Cars) refers to a failure to satisfy the Effective Supervision Threshold Condition (COND) due to the Authority having no means by which it can communicate with the firm. Therefore, we imposed a cancellation. -
Final notice 2016: Patrick Gray [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition. -
Final notice 2016: Lester Evans [pdf]
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.