Publications

Showing 1931 to 1940 of 3616 search results.

1931. FCA Final Notice 2013: Sesame Limited [pdf]

      Final notices

      Published: 05/06/2013

      Last modified: 07/04/2015

      This final notice refers to breaches of PRIN 3 and PRIN 9 related to mis-selling, and appointed representatives in the investment advisers and platforms sector. We imposed a fine.

1932. FCA Final Notice 2013: Christopher John Riches [pdf]

      Final notices

      Published: 05/06/2013

      Last modified: 07/04/2015

      This final notice refers to breaches of PRIN 1 and PRIN 11 related to lack of fitness/propriety, failing to be open and co-operative and threshold conditions in the mortgages and consumer credit sector. We imposed a fine, withdrawal and a prohibition

1933. FCA Final Notice 2013: Sovereign Financial Solutions Limited [pdf]

      Final notices

      Published: 04/06/2013

      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.

1934. FCA Final Notice 2013: John Dixon [pdf]

      Final notices

      Published: 03/06/2013

      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.

1935. FCA Final Notice 2013: David John Nickless [pdf]

      Final notices

      Published: 31/05/2013

      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.

1936. FCA Final Notice 2013: Route of Asia Money Exchange Limited [pdf]

      Final notices

      Published: 23/05/2013

      Last modified: 07/04/2015

      This final notice refers to breaches of PSR related to lack of fitness and propriety in the payment services sector. We imposed a refusal.

1937. FCA Final Notice 2013: J.P. Morgan International Bank Limited [pdf]

      Final notices

      Published: 23/05/2013

      Last modified: 07/04/2015

      This Final Notice refers to breaches of PRIN 3 and SYSC related to mis-selling in the wealth management and private banking sector. We imposed a fine and past business review.

1938. FCA Final Notice 2013: Montague Capital Limited [pdf]

      Final notices

      Published: 10/05/2013

      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.

1939. FCA Final Notice 2013: Horn Express Ltd (formerly Qaran Express Money Transfer Limited) [pdf]

      Final notices

      Published: 30/04/2013

      Last modified: 07/04/2015

      This final notice refers to breaches of PSR related to client money/assets in the payment services sector. We imposed a public censure.

1940. FCA Final Notice 2013: Douglas Jones [pdf]

      Final notices

      Published: 29/04/2013

      Last modified: 19/05/2015

      This final notice refers to breaches of APER 6 and APER 1 related to lack of fitness/propriety in the mortgage and consumer credit sector. We imposed a full prohibition and £13,300 financial penalty, after discount.