Search results
Showing 1121 to 1130 of 1305 search results for Final Notice refers to breaches of APER.
-
FCA Final Notice 2014: Invesco Asset Management Limited, Invesco Fund Managers Limited [pdf]
This final notice refers to breaches of PRIN 3, PRIN 7 and COLL related to unfair treatment of customers in the asset management sector. We imposed a fine. -
Final Notice 2017: GZ Energy Solutions Limited [pdf]
This final notice refers to breaches of PRIN 11 and COND related to failing to be open and co-operative in the consumer credit sector. We imposed a refusal. -
Final Notice 2017: Vehicle Lease Solutions Limited [pdf]
This final notice refers to breaches of PRIN 11 and COND related to failing to be open and co-operative in the consumer credit sector. We imposed a refusal. -
Final Notice 2015: Execution Noble & Company Limited [pdf]
This final notice refers to breaches of the Listing Rules related to failing to be open and co-operative in the sponsor sector. We imposed a fine. -
Final Notice: Sonali Bank (UK) Ltd [pdf]
This final notice refers to breaches of PRIN 3 and PRIN 11 related to culture/governance, failing to be open and co-operative and financial crime in the retail bank sector. We imposed a fine and suspension/restriction. -
Final Notice 2020: Summit Vehicle Solutions Ltd [pdf]
This final notice Summit Vehicle Solutions Ltd refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation. -
Final Notice 2018: Larksway Investments Limited (in Liquidation) [pdf]
This final notice refers to breaches of COND, DISP, PRIN 6 and PRIN 11 related to threshold conditions, unfair treatment of customers and failing to be open and co-operative in the Insurance Mediation sector. We imposed a cancellation. -
Final Notice 2020: Lakeside Motor Group Limited [pdf]
This final notice (Lakeside Motor Group Limited) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation. -
Final Notice 2022: Green Energy Together Limited [pdf]
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. -
Final Notice: Wellsons Vehicle Solutions Limited [pdf]
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.