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Showing 921 to 930 of 1305 search results for Final Notice refers to breaches of APER.

  1. Final Notice 2018: Michael George Hutley [pdf]

    Final notices Published: 14/06/2018
    This final notice refers to breaches of Principle 11 and SUP related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  2. Final Notice 2018: Vanquis Bank Limited [pdf]

    Final notices Published: 27/02/2018 Last modified: 28/03/2018
    This FCA final notice (Vanquis Bank Limited) refers to breaches of PRIN 6 and PRIN 7 related to unfair treatment of customers in the consumer credit sector. We imposed a fine and restitution.

  3. Final Notice 2017: New Peterborough Auto Limited [pdf]

    Final notices Published: 12/04/2017
    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.

  4. Final Notice 2023: Bastion Capital London Limited [pdf]

    Final notices Published: 13/07/2023
    This Final Notice refers to breaches of PRIN 2 and PRIN 3 related to the risk of financial crime in the trading firms sector. We imposed a financial penalty.

  5. Final Notice 2022: Henderson Carter Associates Limited [pdf]

    Final notices Published: 17/05/2022
    This Final Notice (Henderson Carter Associates Limited) refers to breaches of PRIN 1 and Section 20 FSMA related to mis-selling and failing to be open and co-operative in the investment adviser and pensions sector. We imposed a public censure.

  6. Final notice 2016: Analyst Investment Management Plc [pdf]

    Final notices Published: 09/08/2016 Last modified: 09/08/2016
    This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the investment adviser sector. We imposed a cancellation.

  7. Sophie Clements t/a Essex Approved Cars [pdf]

    Final notices Published: 02/05/2018
    This final notice (Sophie Clements t/a Essex Approved Cars) refers to breaches of Principle 11 and SUP related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  8. Final Notice 2017: Notion Capital Managers LLP [pdf]

    Final notices Published: 20/01/2017
    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.

  9. Final Notice 2021: Abacus Management Ltd [pdf]

    Final notices Published: 03/09/2021
    This final notice (Abacus Management Ltd) refers to a failure to satisfy the threshold conditions (COND) and to be open and cooperative with the regulator (PRIN 11) in the claims management sector. We refused the firm’s application for

  10. Final Notice 2018: East Pennine O E [pdf]

    Final notices Published: 21/09/2018
    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
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