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Showing 1111 to 1120 of 1305 search results for Final Notice refers to breaches of APER.

  1. Final Notice 2018: William Joseph Elvin [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.

  2. Final Notice 2017: Margolis Business Systems Limited [pdf]

    Final notices Published: 30/08/2017
    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 2018: Mr James Edward Staley [pdf]

    Final notices Published: 11/05/2018
    This final notice (Mr James Edward Staley) refers to breaches of Individual Conduct Rule 2 (COCON 2.1.2) related to conflicts of interest (whistleblowing, CEO accountability) in the retail bank sector. We imposed a fine.

  4. Final Notice 2021: Stanic Motor Co Limited [pdf]

    Final notices Published: 02/08/2021
    This final notice (Stanic Motor Co Limited) 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.

  5. Final Notice 2020: Sean Morrison (trading as GL51 Cars) [pdf]

    Final notices Published: 05/08/2020
    This final notice Sean Morrison (trading as GL51 Cars) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  6. Final notice 2016: Cross Keys Estate & Finance Limited [pdf]

    Final notices Published: 22/02/2016 Last modified: 22/02/2016
    This final notice refers to breaches of COND and TC related to Threshold Conditions and lack of fitness and propriety in the Consumer Credit sector. We imposed a refusal.

  7. Final Notice 2020: Premier Motor Group Limited [pdf]

    Final notices Published: 08/06/2020
    This final notice (Premier Motor Group Limited) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

  8. FCA Final Notice 2013: Len Cooke Financial Consultants Limited [pdf]

    Final notices Published: 20/08/2013 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.

  9. Final Notice 2019: Scope Leasing Limited [pdf]

    Final notices Published: 06/06/2019
    This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

  10. Final Notice 2022: Bank House Investment Management Limited [pdf]

    Final notices Published: 17/05/2022
    This Final Notice (Bank House Investment Management Limited) refers to breaches of PRIN 1 and section 20 FSMA related to mis-selling and failing to be open and co-operative in the investment adviser and pensions sector. We imposed a financial penalty
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