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Showing 211 to 220 of 1305 search results for Final Notice refers to breaches of APER.

  1. Final Notice 2017: Ashby Sales [pdf]

    Final notices Published: 02/05/2017
    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.

  2. Final Notice 2016: Iain Strang [pdf]

    Final notices Published: 25/11/2016
    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.

  3. Final Notice 2021: Mr Adrian Horn [pdf]

    Final notices Published: 04/03/2021
    The Final Notice refers to breaches of MAR and FIT relating to Market Abuse in the Trading Firm sector. We imposed a Financial Penalty and Prohibition.

  4. Final Notice 2024: Tyrone Miller [pdf]

    Final notices Published: 31/05/2024
    “This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.”

  5. Final notice 2016: Abbas Khan trading as Parry Lane Services [pdf]

    Final notices Published: 03/03/2016 Last modified: 03/03/2016
    This final notice refers to breaches of Principle 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  6. FCA Final Notice 2014: Michael Bains [pdf]

    Final notices Published: 06/01/2014 Last modified: 07/04/2015
    This final notice refers to breaches of FIT related to lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

  7. Final Notice 2017: Steve Beaty [pdf]

    Final notices Published: 10/05/2017
    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.

  8. Final Notice 2020: Small Batch Coffee Ltd [pdf]

    Final notices Published: 21/05/2020
    This final notice (Small Batch Coffee Ltd) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

  9. Final Notice 2017: Ann Burke [pdf]

    Final notices Published: 31/03/2017
    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 2017: Billy Davis [pdf]

    Final notices Published: 12/04/2017
    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.
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