Publications

Showing 1921 to 1930 of 3616 search results.

1921. FCA Final Notice 2013: Nicholas Welsh & Co Limited [pdf]

      Final notices

      Published: 03/07/2013

      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.

1922. FCA Final Notice 2013: Norest Chari [pdf]

      Final notices

      Published: 02/07/2013

      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.

1923. FCA Final Notice 2013: Praetor Capital LLP [pdf]

      Final notices

      Published: 02/07/2013

      Last modified: 07/04/2015

      This Final Notice refers to breaches of PRIN 11 related to threshold conditions in the asset management sector. We imposed a cancellation.

1924. FCA Final Notice 2013: Minona LLP [pdf]

      Final notices

      Published: 02/07/2013

      Last modified: 07/04/2015

      This Final Notice refers to breaches of PRIN 11 related to threshold conditions in the asset management sector. We imposed a cancellation.

1925. FCA Final Notice 2013: Kuya J’s Filipino Store Limited [pdf]

      Final notices

      Published: 02/07/2013

      Last modified: 07/04/2015

      This Final Notice refers to breaches of PSR related to failing to be open and co-operative in the

1926. FCA Final Notice 2013: Al-Bukhari Travel and Leisure Services Limited [pdf]

      Final notices

      Published: 01/07/2013

      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.

1927. FCA Final Notice 2013: Hyde Gardens Limited [pdf]

      Final notices

      Published: 21/06/2013

      Last modified: 07/04/2015

      This Final Notice refers to breaches of PRIN 11 related to threshold conditions in the investment advisors & platforms sector. We imposed a cancellation.

1928. FCA Final Notice 2013: Westwind UK Limited [pdf]

      Final notices

      Published: 21/06/2013

      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.

1929. FCA Final Notice 2013: Gurpreet Singh Chadda [pdf]

      Final notices

      Published: 19/06/2013

      Last modified: 07/04/2015

      This final notice refers to breaches of PRIN 1 related to lack of fitness/propriety, failing to be open and co-operative and unfair treatment of customers in the sale and rent back sector. We imposed a fine and prohibition.

1930. FCA Final Notice 2013: Xcap Securities PLC [pdf]

      Final notices

      Published: 11/06/2013

      Last modified: 07/04/2015

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