Publications

Showing 1821 to 1830 of 3616 search results.

1821. FCA Final Notice 2014: Besso Limited [pdf]

      Final notices

      Published: 19/03/2014

      Last modified: 07/04/2015

      This final notice refers to breaches of PRIN 3 related to anti-Bribery and corruption in the general insurance and protection sector. We imposed a fine.

1822. FCA Final Notice 2014: Provident Equity Limited [pdf]

      Final notices

      Published: 18/03/2014

      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.

1823. FCA Final Notice 2014: Forex Trading (UK) Limited [pdf]

      Final notices

      Published: 17/03/2014

      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.

1824. FCA Final Notice 2014: ASE Global Transfers Limited [pdf]

      Final notices

      Published: 17/03/2014

      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.

1825. FCA Final Notice 2014: Great Wall Financial Service Limited [pdf]

      Final notices

      Published: 17/03/2014

      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.

1826. FCA Final Notice 2014: City & Provincial and Mr Zaffar Hassan Tanweer [pdf]

      Final notices

      Published: 13/03/2014

      Last modified: 07/04/2015

      This final notice refers to breaches of APER 1 and FIT related to mortgage fraud in the mortgages and consumer credit sector. We imposed a prohibition (full), fine, withdrawal and cancellation.

1827. FCA Final Notice 2014: Newgate Finance & Properties Limited [pdf]

      Final notices

      Published: 10/03/2014

      Last modified: 07/04/2015

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

1828. FCA Final Notice 2014: Cathedral City Wealth Management Limited [pdf]

      Final notices

      Published: 10/03/2014

      Last modified: 07/04/2015

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

1829. FCA Final Notice 2014: Arnold Gary Eber [pdf]

      Final notices

      Published: 27/02/2014

      Last modified: 07/04/2015

      This final notice refers to breaches of FIT related to failing to be open and co-operative, and lack of fitness/propriety in the investment advisers and platforms sector. We imposed a public censure and a prohibition.

1830. FCA Final Notice 2014: Forex Capital Markets Limited (FXCM Ltd) and FXCM Securities Limited (FXCM Securities) [pdf]

      Final notices

      Published: 26/02/2014

      Last modified: 07/04/2015

      This final notice refers to breaches of PRIN 6, PRIN 11, and COBS related to unfair treatment of customers, and failing to be open and co-operative in the trading firms sector. We imposed a fine and redress.