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Showing 361 to 370 of 1305 search results for Final Notice refers to breaches of APER.

  1. Final Notice 2022: Metro Bank plc [pdf]

    Final notices Published: 12/12/2022
    The Final Notice (Metro Bank plc) refers to breaches of Listing Rules 1.3.3R related to misleading information not to be published in the Retail Bank sector. We imposed a financial penalty.

  2. Final notice 2016: David Michael Sayer trading as D M Sayer and Co (Insurance) [pdf]

    Final notices Published: 15/04/2016 Last modified: 15/04/2016
    This final notice refers to breaches of PRIN 11 and COND related to failing to be open and cooperative and threshold conditions in the general insurance and protection sector. We imposed a cancellation.

  3. Final Notice 2017: Niall O’Kelly [pdf]

    Final notices Published: 07/04/2017
    This final notice refers to breaches of s.118(7) Financial Services and Markets Act 2000 and FIT related to market abuse, a lack of fitness/propriety and client money/assets in the trading firm sector. We imposed a fine and prohibition.

  4. Final Notice 2017: Ashton Patterson [pdf]

    Final notices Published: 29/03/2017
    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.

  5. Final notice 2016: Aspect Garage Ltd [pdf]

    Final notices Published: 05/05/2016 Last modified: 05/05/2016
    This final notice refers to breaches of COND, PRIN 11, failing to be open and co-operative. We imposed a refusal.

  6. Final Notice 2016: Warmcool Limited [pdf]

    Final notices Published: 13/12/2016
    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.

  7. Final Notice 2015: Cashsense Limited [pdf]

    Final notices Published: 10/06/2015 Last modified: 10/06/2015
    This final notice refers to breaches of PSR related to Payment Services Regulations and failing to be open and co-operative in the payment services sector. We imposed a cancellation.

  8. FCA Final Notice 2013: Churchill Securities (UK) Limited [pdf]

    Final notices Published: 25/07/2013 Last modified: 07/04/2015
    This Final Notice refers to breaches of TC related to threshold conditions in the investment advisors & platforms sector. We imposed a cancellation.

  9. Final Notice 2019: Pitshop Motors (Swindon) Ltd [pdf]

    Final notices Published: 25/07/2019
    This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in

  10. Final Notice 2023: Lighthouse Advisory Services Limited [pdf]

    Final notices Published: 15/05/2023
    This Final Notice refers to breaches of Principles 9 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We published a public censure
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