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Showing 181 to 190 of 4494 search results for final notice refers.

  1. FCA Final Notice 2013: Omar Sohail Zaman (trading as Worldwide Money Exchange) [pdf]

    Final notices Published: 07/08/2013 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.

  2. Final Notice 2015: Salam Transfer Limited [pdf]

    Final notices Published: 13/11/2015 Last modified: 13/11/2015
    This final notice refers to breaches of the Payment Services Regulations 2009 (the PSRs), Regulation 13, related to lack of fitness/propriety and failing to be open and cooperative with the Financial Conduct Authority. We imposed a refusal of the

  3. Final notice 2016: Veena Bhandari [pdf]

    Final notices Published: 26/01/2016 Last modified: 26/01/2016
    This final notice refers to a candidate for approval to perform controlled functions. The candidate did not satisfy us that they met the competence & capability criteria of the FCA’s Fit and Proper Person Test. We refused the application.

  4. Final Notice 2017: Philip Gee [pdf]

    Final notices Published: 29/03/2017
    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.

  5. 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.

  6. Final Notice 2018: Alex Payne [pdf]

    Final notices Published: 16/08/2018
    This final notice refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the consumer credit sector. We imposed a cancellation.

  7. Final Notice 2023: Equifax Limited [pdf]

    Final notices Published: 13/10/2023
    This Final Notice relates to the outsourcing of data processing to an intragroup entity which experienced a data breach. The Final Notice refers to risk management failings (Principle 3) and failings in relation to treating customers fairly and

  8. FCA Final Notice 2014: Royal Bank of Scotland plc and National Westminster Bank Plc [pdf]

    Final notices Published: 27/08/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 2, PRIN 9, and MCOB related to mis-selling in the retail bank sector. We imposed a fine.

  9. FCA Final Notice 2014: Mohsin Shahzad Khan [pdf]

    Final notices Published: 11/07/2014 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 systems sector. We imposed a cancellation.

  10. Final notice 2016: Patrick Gray [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.
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