Publications

Showing 1901 to 1910 of 3616 search results.

1901. FCA Final Notice 2013: Vandana Madhukar Parikh [pdf]

      Final notices

      Published: 06/08/2013

      Last modified: 19/05/2015

      This final notice refers to breaches of APER 2 related to lack of fitness/propriety in the trading firms sector. We imposed a fine.

1902. FCA Final Notice 2013: Goldthorn Mortgage & Insurance Services Limited (In Liquidation) [pdf]

      Final notices

      Published: 06/08/2013

      Last modified: 07/04/2015

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

1903. FCA Final Notice 2013: Abdul Majeed [pdf]

      Final notices

      Published: 05/08/2013

      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.

1904. FCA Final Notice 2013: Mark Richard Faulkner [pdf]

      Final notices

      Published: 29/07/2013

      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 OIVOP and a cancellation.

1905. FCA Final Notice 2013: Foneshield (UK) Limited [pdf]

      Final notices

      Published: 26/07/2013

      Last modified: 07/04/2015

      This Final Notice refers to breaches of PRIN 11 related to threshold conditions in the general insurance and protection sector. We imposed a cancellation.

1906. FCA Final Notice 2013: John Douglas Leslie [pdf]

      Final notices

      Published: 26/07/2013

      Last modified: 07/04/2015

      This final notice refers to breaches of APER 6 related to misselling, lack of fitness/propriety in the investment advisers and platforms sector. We imposed a fine and a prohibition order.

1907. FCA Final Notice 2013: Churchill Securities (UK) Limited [pdf]

      Final notices

      Published: 25/07/2013

      Last modified: 07/04/2015

      This Final Notice refers to breaches of TC related to threshold conditions in the investment advisors & platforms sector. We imposed a cancellation.

1908. FCA Final Notice 2013: Paul David Cable [pdf]

      Final notices

      Published: 19/07/2013

      Last modified: 19/05/2015

      This final notice refers to breaches of PRIN 1 related to lack of fitness/propriety in the general insurance and protection sector. We imposed a fine and a prohibition.

1909. FCA Final Notice 2013: Kiskidee Limited [pdf]

      Final notices

      Published: 19/07/2013

      Last modified: 07/04/2015

      This Final Notice refers to breaches of PRIN 11 related to threshold conditions in the general insurance and protection sector. We imposed a cancellation.

1910. FCA Final Notice 2013: IBBL Exchange UK Limited (formerly Jalalabad Money Transfer & Travels Limited) [pdf]

      Final notices

      Published: 18/07/2013

      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.