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Showing 681 to 690 of 1305 search results for Final Notice refers to breaches of APER.

  1. FCA Final Notice 2014: Abacus Transfers Limited [pdf]

    Final notices Published: 24/07/2014 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 services sector. We imposed a cancellation.

  2. Final Notice 2017: Eco-Insulation Ltd [pdf]

    Final notices Published: 08/11/2017
    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.

  3. Final Notice 2021: Credit Suisse International, Credit Suisse Securities (Europe) Ltd, and Credit Suisse AG [pdf]

    Final notices Published: 19/10/2021
    This Final Notice refers to breaches of Prin 2 and Prin 3 related to financial crime and anti-bribery and corruption failings in the investment banking sector. We imposed a financial penalty

  4. FCA Final Notice 2014: David John Hewitt trading as Bexley Insurance Centre [pdf]

    Final notices Published: 12/08/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 11 related to threshold conditions in the general insurance, intermediary sector. We imposed a cancellation.

  5. Final notice 2017: Paul Axel Walter [pdf]

    Final notices Published: 22/11/2017
    This final notice refers to breaches of section 118 FSMA related to market abuse in the trading firm sector. We imposed a financial penalty.

  6. Final Notice 2016: Macauley Myers 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 2021: Crosfill & Archer Claims Limited [pdf]

    Final notices Published: 28/06/2021
    This Final Notice refers to breaches of breach of the Conduct of Authorised Persons Rules 2014 (“CAPR”) related to unfair treatment of customers in the claims management sector. We imposed a financial penalty.

  8. Final Notice 2018: UK4REX Limited [pdf]

    Final notices Published: 14/12/2018
    This final notice (UK4REX Limited) refers to breaches of payment services regulations (PSR) related to failing to be open and co-operative in the payment services sector. For the interest and protection of Consumers, we imposed a cancellation.

  9. Final Notice 2015: Noraminvest UK Limited [pdf]

    Final notices Published: 12/05/2015 Last modified: 12/05/2015
    This final notice refers to breaches of principle 11 and TC related to threshold conditions and failing to be open and co-operative in the investment advisor sector. We imposed a cancellation.

  10. Final Notice 2020: HMS Cars Ltd [pdf]

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