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Showing 641 to 650 of 1305 search results for Final Notice refers to breaches of APER.
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FCA Final Notice 2014: Lloyds Bank plc and Bank of Scotland plc [pdf]
This final notice refers to breaches of PRIN 3 and PRIN 5 related to wholesale conduct, benchmarks, and conflicts of interest in the retail banks sector. We imposed a fine. -
FCA Final Notice 2014: Pritchard Stockbrokers Limited (In Special Administration) [pdf]
This final notice refers to breaches of PRIN 1, PRIN 2, PRIN 10 related to client money/assets in the asset management sector. We imposed a public censure. -
Final Notice 2017: Woodston 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. -
Final Notice 2017: Michael McGillen [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. -
Final Notice 2023: Ovi Motors Ltd [pdf]
This Final Notice (Ovi Motors Ltd) 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. -
Final Notice 2017: William Connolly [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. -
Final Notice 2017: Marvin Patterson [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. -
Final notice 2015: Oaklands Courier Limited [pdf]
The final notice refers to breaches of PSR related to failing to be open and co-operative in the payment services sector. We imposed a cancellation. -
Final Notice 2019: Bank of Scotland Plc [pdf]
This final notice refers to breaches of PRIN 11 and SUP, relating to failing to be open and cooperative in the retail bank sector. We imposed a financial penalty. -
Final Notice 2019: Egcars [pdf]
This final notice (Egcars) 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 of the applicant’s Part 4A application.