Publications

Showing 1781 to 1790 of 3616 search results.

1781. FCA Final Notice 2014: Investments Limited [pdf]

      Final notices

      Published: 23/07/2014

      Last modified: 13/03/2015

      This final notice refers to breaches of PRIN 3 and SYSC related to culture/goverence in the investment adviser sector. We imposed a public censure, suspension, and restriction.

1782. FCA Final Notice 2014: Financial Limited [pdf]

      Final notices

      Published: 23/07/2014

      Last modified: 13/03/2015

      This final notice refers to breaches of PRIN 3 and SYSC related to culture/goverence in the investment adviser sector. We imposed a public censure, suspension, and restriction.

1783. FCA Final Notice 2014: Ian Charles Hannam [pdf]

      Final notices

      Published: 22/07/2014

      Last modified: 07/04/2015

      This final notice refers to breaches of MAR related to market abuse in the investment banks sector. We imposed a fine.

1784. 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.

1785. FCA Final Notice 2014: Shahid Sultan Babar [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.

1786. FCA Final Notice 2014: Mega Advice Services Ltd [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.

1787. FCA Final Notice 2014: Vasavan Thambhiah [pdf]

      Final notices

      Published: 20/06/2014

      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.

1788. FCA Final Notice 2014: Mohammed Ayoob [pdf]

      Final notices

      Published: 20/06/2014

      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.

1789. FCA Final Notice 2014: Sultan Ahmed [pdf]

      Final notices

      Published: 20/06/2014

      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.

1790. FCA Final Notice 2014: Paul Catterall [pdf]

      Final notices

      Published: 19/06/2014

      Last modified: 07/04/2015

      This final notice refers to breaches of COND related to threshold conditions, and lack of fitness/propriety in the general insurance and protection sector. We imposed a refusal.