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Showing 171 to 180 of 4494 search results for final notice refers.

171. 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.

172. 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.

173. Final notice 2016: W H Ireland Limited [pdf]

     Final notices Published: 23/02/2016 Last modified: 23/02/2016
     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.

174. Final notice 2016: David Michael Sayer trading as D M Sayer and Co (Insurance) [pdf]

     Final notices Published: 15/04/2016 Last modified: 15/04/2016
     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.

175. 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.

176. Final Notice 2017: Parm Milap [pdf]

     Final notices Published: 04/07/2017
     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.

177. Final Notice 2017: Gary Drury [pdf]

     Final notices Published: 17/05/2017
     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.

178. Final Notice 2017: John Green [pdf]

     Final notices Published: 02/02/2017
     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.

179. Final Notice 2017: Alan Swift [pdf]

     Final notices Published: 03/03/2017
     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.

180. Final Notice 2021: Mr Adrian Horn [pdf]

     Final notices Published: 04/03/2021
     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.