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Showing 1481 to 1490 of 2139 search results for Final Notice refers to breaches.

  1. Final Notice 2017: Metallic Cars Ltd [pdf]

    Final notices Published: 23/10/2017
    Conduct: Failing to be open and co-operative Breaches: PRIN 11 Subject: Firm Outcome: Cancellation Sector: Consumer Credit

  2. Final Notice 2021: Lee Donnelly (trading as Kingsmill Cars) [pdf]

    Final notices Published: 18/02/2021
    This final notice refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority PRIN 11 in the consumer credit sector. We imposed a cancellation.

  3. Final Notice 2019: Carz2go Ltd [pdf]

    Final notices Published: 15/07/2019
    This final notice refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the consumer credit sector. We imposed a cancellation.

  4. FCA Decision Notice 2016: Michael Wilkinson trading as Michael Wilkinson Mortgages [pdf]

    Decision notices Published: 27/09/2016
    This decision notice refers to breaches of PRIN 4, PRIN 11, COND, MIPRU and SUP related to failing to be open and co-operative and threshold conditions in the regulated home finance sector. Our view is that a cancellation should be imposed.

  5. FCA Decision Notice 2013: Andrew Peter Wilkins [pdf]

    Decision notices Published: 04/10/2013 Last modified: 04/06/2015
    This decision notice refers to breaches of PRIN 6 related to financial promotions and unfair treatment of customers in the investment advisers and platforms sector. We imposed a fine and partial prohibition.

  6. FCA Decision Notice 2015: Peter Francis Johnson [pdf]

    Decision notices Published: 26/05/2015 Last modified: 26/05/2015
    This decision notice refers to breaches of APER 1, APER 4, FIT related to mis-selling, failing to be open and co-operative, lack of fitness/propriety, failing to act on information appropriately in the Asset Management sector. Our view is that a

  7. Final notice 2020: Pixma Group Ltd [pdf]

    Final notices Published: 28/01/2020
    This final notice (Pixma Group Ltd) refes to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

  8. Final Notice 2017: Phoenix Clinic Limited [pdf]

    Final notices Published: 20/10/2017
    Conduct: Failing to be open and co-operative Breaches: PRIN 11 Subject: Firm Outcome: Cancellation Sector: Consumer Credit

  9. Final Notice 2023: Jason Morrison [pdf]

    Final notices Published: 25/09/2023
    This final notice refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority PRIN 11 in the consumer credit sector. We imposed a cancellation.

  10. Final Notice 2023: Floenergy Ltd [pdf]

    Final notices Published: 03/05/2023
    This final notice refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative (PRIN 11) in the credit broking sector. We refused the firm’s application for authorisation.
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