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Showing 91 to 100 of 1273 search results for final notice refers to breaches of s.118.

  1. FCA Final Notice 2013: Minona LLP [pdf]

    Final notices Published: 02/07/2013 Last modified: 07/04/2015
    This Final Notice refers to breaches of PRIN 11 related to threshold conditions in the asset management sector. We imposed a cancellation.

  2. FCA Final Notice 2013: Foneshield (UK) Limited [pdf]

    Final notices Published: 26/07/2013 Last modified: 07/04/2015
    This Final Notice refers to breaches of PRIN 11 related to threshold conditions in the general insurance and protection sector. We imposed a cancellation.

  3. 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.

  4. Final notice 2016: Ashbank Cars [pdf]

    Final notices Published: 02/06/2016 Last modified: 02/06/2016
    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.

  5. Final notice 2016: Volpe Capital Management LLP [pdf]

    Final notices Published: 13/07/2016 Last modified: 21/07/2016
    This final notice refers to a breach of PRIN 11 related to failing to be open and co-operative in the investment adviser sector. We imposed a cancellation.

  6. 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.

  7. 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.

  8. FCA Final Notice 2013: John Dixon [pdf]

    Final notices Published: 03/06/2013 Last modified: 07/04/2015
    This Final Notice refers to breaches of PRIN 11 related to threshold conditions in the investment advisors & platforms sector. We imposed a cancellation.

  9. FCA Final Notice 2013: Policy Administration Services Limited [pdf]

    Final notices Published: 03/07/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 3 and 6 related to complaints-handling, and the unfair treatment of customers in the general insurance and protection sector. We imposed a fine.

  10. 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.