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Showing 891 to 900 of 1305 search results for Final Notice refers to breaches of APER.
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Final Notice 2022: Wakefield Motor House Ltd [pdf]
This final notice (Wakefield Motor House Ltd) refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative (PRIN 11) in the Credit Broking sector. We refused the firm’s application for authorisation. -
Final notice 2016: Geoffrey Harold Arthur Fincher [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition. -
Final Notice 2020: Corrado Abbattista [pdf]
This Final Notice refers to breaches of FIT and MAR related to market abuse in the trading firm sector. We imposed a prohibition and financial penalty. File updated to include autotag accessibility requirement. -
Final Notice 2020: The Coffee Counter Ltd [pdf]
This final notice (The Coffee Counter Ltd) 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 2019: Giovanni Joseph Oliverio [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety in the private business adviser sector. We imposed a prohibition. -
FCA Final Notice 2014: Khan Enterprise Money Transfers Ltd [pdf]
This final notice refers to breaches of PSR related to the Payment Services Regulations in the payment services sector. We imposed a cancellation. -
Final Notice 2017: D H & M Edwards [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: Northern Motors (Aberdeen) Limited [pdf]
This final notice refers to a breach of PRIN 11 relating to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation. -
Final Notice 2015: Arch Financial Products LLP [pdf]
This final notice refers to breaches of PRIN 1, PRIN 3, PRIN 8, SYSC and COB related to conflicts of interests in the investment advisor sector. We imposed a public censure. -
Final Notice 2017: New Born Electronic's 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.