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Showing 261 to 270 of 4557 search results for final notice refers.
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Final Notice 2015: Mothahir Miah [pdf]
This final notice refers to breaches of APER 1 and FIT related to lack of fitness/propriety, unfair treatment of customers and conflicts of interest in the asset management sector. We imposed a fine and a prohibition. -
Final Notice 2017: Stephen Moore [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 2017: Stuart Graham [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. -
FCA Final Notice 2014: David Welsby [pdf]
This final notice refers to breaches of APER 1 related to client money/assets in the asset management sector. We imposed a fine, withdrawal and a prohibition. -
FCA Final Notice 2014: Mohammed Dudu Miah [pdf]
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. -
Final notice 2016: James Kirkwood [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. -
FCA Final Notice 2013: Manna Sha'Meyn Oriental Limited [pdf]
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. -
Final notice 2016: Premier Dental Limited [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 2015: Stephen Allen [pdf]
This final notice refers to breaches of FIT related to lack of fitness and propriety and failing to be open and co-operative in the general insurance and protection sector. We imposed a prohibition. -
Final notice 2016: Glyn Goodyear [pdf]
This final notice refers to breaches of PRIN 6, PRIN 11, COND and DISP related to failing to be open and co-operative, unfair treatment of customers and threshold conditions in the consumer credit sector. We imposed a cancellation.