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Showing 781 to 790 of 2139 search results for Final Notice refers to breaches.

  1. Final Notice 2017: Mr John Chiesa [pdf]

    Final notices Published: 12/10/2017
    This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition and withdrawal.

  2. Final Notice 2017: Eco Solutions (UK) Limited [pdf]

    Final notices Published: 05/01/2017 Last modified: 05/01/2017
    This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  3. Final Notice 2017: KWS Wealth Management Limited [pdf]

    Final notices Published: 11/07/2017
    This final notice refers to breaches of the suitability Threshold Condition in the Investment Adviser sector. We imposed a cancellation.

  4. Final Notice 2016: Atlas Bridge Finance Ltd [pdf]

    Final notices Published: 22/11/2016
    This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  5. Final Notice 2023: ED&F Man Capital Markets Limited [pdf]

    Final notices Published: 05/06/2023
    This Final Notice refers to breaches of PRIN 2 and PRIN 3 related to wholesale conduct in the trading firm sector. Our view is that a financial penalty should be imposed.

  6. Final Notice 2018: Vitality Optical Care Ltd [pdf]

    Final notices Published: 21/09/2018
    This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  7. Final Notice: Wingfield Financial Heritage Limited [pdf]

    Final notices Published: 04/10/2016 Last modified: 04/10/2016
    This final notice refers to breaches PRIN 11 and COND related to failing to be open and co-operative in the consumer credit sector. We imposed a refusal.

  8. Final Notice 2017: Grays Motor Cycle Centre Limited [pdf]

    Final notices Published: 19/07/2017
    This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  9. Final Notice 2017: Tamed Earth Bikes Limited [pdf]

    Final notices Published: 07/07/2017
    This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  10. Final notice 2017: Eco Home Alternatives Limited [pdf]

    Final notices Published: 27/01/2017
    This final notice refers to breaches of PRIN11 and COND relating to failing to be open and co-operative in the consumer credit sector. We imposed a refusal.
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