Publications

Showing 1751 to 1760 of 3616 search results.

1751. FCA Final Notice 2014: David Welsby [pdf]

      Final notices

      Published: 09/10/2014

      Last modified: 07/04/2015

      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.

1752. FCA Final Notice 2014: AMI Professional Services Limited [pdf]

      Final notices

      Published: 08/10/2014

      Last modified: 07/04/2015

      This final notice refers to breaches of TC related to threshold conditions in the general insurance and protection sector. We imposed a cancellation.

1753. FCA Final Notice 2014: Andrew Barlas [pdf]

      Final notices

      Published: 24/09/2014

      Last modified: 07/04/2015

      This final notice refers to breaches of PRIN 1 related to mortgage fraud in the mortgages sector. We imposed a public censure.

1754. FCA Final Notice 2014: Euro Remittance Limited [pdf]

      Final notices

      Published: 24/09/2014

      Last modified: 07/04/2015

      This final notice refers to breaches of PSR related to the Payment Services Regulations in the payment services sector. We imposed a cancellation.

1755. FCA Final Notice 2014: AIM Money Transfer Limited [pdf]

      Final notices

      Published: 23/09/2014

      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 services sector. We imposed a cancellation.

1756. FCA Final Notice 2014: EPLS Risk Solutions Limited (formerly Glen Insurance Consultants Limited) [pdf]

      Final notices

      Published: 23/09/2014

      Last modified: 07/04/2015

      This final notice refers to breaches of PRIN 11 related to threshold conditions in the general insurance intermediary sector. We imposed a cancellation.

1757. FCA Final Notice 2014: Barclays Bank PLC - September 2014 [pdf]

      Final notices

      Published: 23/09/2014

      Last modified: 07/04/2015

      This final notice refers to breaches of PRIN 3, PRIN 10, and CASS related to client money/assets in the investment banks sector. We imposed a fine.

1758. FCA Final Notice 2014: Khan Enterprise Money Transfers Ltd [pdf]

      Final notices

      Published: 18/09/2014

      Last modified: 07/04/2015

      This final notice refers to breaches of PSR related to the Payment Services Regulations in the payment services sector. We imposed a cancellation.

1759. FCA Final Notice 2014: Peter Thomas Carron [pdf]

      Final notices

      Published: 16/09/2014

      Last modified: 07/04/2015

      This final notice refers to breaches of APER 1 related to unfair treatment of customers, and lack of fitness/propriety in the investment adviser sector. We imposed a fine and a prohibition.

1760. FCA Final Notice 2014: Craig Stuart Cameron [pdf]

      Final notices

      Published: 29/08/2014

      Last modified: 07/04/2015

      This final notice refers to breaches of APER1 and FIT related to lack of fitnes/propriety and unfair treatment of customers in the investment adviser and platform sector. We imposed a fine and a prohibition.