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Showing 671 to 680 of 1305 search results for Final Notice refers to breaches of APER.

  1. Final Notice 2023: Mach 1 Sales Ltd [pdf]

    Final notices Published: 21/07/2023
    This final notice (Mach 1 Sales Ltd) refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative (PRIN 11). Adequate information was not provided in a timely manner despite several attempts to obtain a response. We

  2. Final Notice 2018: Darren Lee Newton [pdf]

    Final notices Published: 20/12/2018
    This final notice (Darren Lee Newton) refers to breaches of FIT related to client money/assets and lack of fitness/propriety in the consumer credit sector. We imposed a prohibition.

  3. Final notice 2016: Mark Samuel Taylor [pdf]

    Final notices Published: 13/05/2016 Last modified: 13/05/2016
    This final notice refers to breaches of FIT as well as section 118(2) Financial Services and Markets Act 2000, related to market abuse and a lack of fitness/propriety in the wealth management and private banking sector. We imposed a fine and

  4. FCA Final Notice 2013: Swinton Group Limited [pdf]

    Final notices Published: 16/07/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 3, PRIN 6 and PRIN 7 related to unfair treatment of customers in the general insurance and protection sector. We imposed a fine.

  5. Final Notice 2018: MEA (NI) Ltd [pdf]

    Final notices Published: 09/03/2018
    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.

  6. Final Notice 2019: E & N Ritchie [pdf]

    Final notices Published: 16/10/2019
    This final notice (E & N Ritchie) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

  7. FCA Final Notice 2013: Leader Transfer Limited [pdf]

    Final notices Published: 04/11/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PSR related to failing to be open and co-operative in the payment systems sector. We imposed a cancellation.

  8. FCA Final Notice 2014: Currencies House Limited [pdf]

    Final notices Published: 18/06/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PSR related to failing to be open and co-operative in the payment systems sector. We imposed a cancellation.

  9. FCA Final Notice 2014: Provident Equity Limited [pdf]

    Final notices Published: 18/03/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PSR related to failing to be open and co-operative in the payment systems sector. We imposed a cancellation.

  10. FCA Final Notice 2014: Craig Stuart Cameron [pdf]

    Final notices Published: 29/08/2014 Last modified: 07/04/2015
    This final notice refers to breaches of APER1 and FIT related to lack of fitnes/propriety and unfair treatment of customers in the investment adviser and platform sector. We imposed a fine and a prohibition.
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