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Showing 61 to 70 of 2102 search results for final notice refers to breaches.
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Final Notice 2017: Gary Drury [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: John Green [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 2021: Mr Adrian Horn [pdf]
The Final Notice refers to breaches of MAR and FIT relating to Market Abuse in the Trading Firm sector. We imposed a Financial Penalty and Prohibition. -
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 2024: Clint Canning (AKA Christian Beauchamp AKA Clint Foster) [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 2017: Christine Whitehurst [pdf]
This final notice refers to breaches of FIT related to client money/assets and lack of fitness/propriety in the consumer credit sector. We imposed a prohibition. Final Notice: Christine Whitehurst Conduct: Client money/assets; Lack of -
FCA Final Notice 2013: Kuya J’s Filipino Store Limited [pdf]
This Final Notice refers to breaches of PSR related to failing to be open and co-operative in the -
FCA Final Notice 2013: Omar Sohail Zaman (trading as Worldwide Money Exchange) [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 2016: Abbas Khan trading as Parry Lane Services [pdf]
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. -
Final notice 2016: W H Ireland Limited [pdf]
This final notice refers to breaches of PRIN 3 and SYSC related to market protection, culture/governance and conflicts of interest in the wealth management and private banking sector. We imposed a fine and restriction.