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Showing 1041 to 1050 of 1097 search results for Final Notice refers to breaches of APER 7 related.

  1. Final Notice 2017: Mueller Precious Metal Trading LLP [pdf]

    Final notices Published: 30/05/2017
    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.

  2. Final notice 2016: El-Essawy Holistic Care Limited [pdf]

    Final notices Published: 04/05/2016 Last modified: 04/05/2016
    This final notice refers to a breach of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  3. Final Notice 2018: Marcus Gray t/a aj motors [pdf]

    Final notices Published: 08/05/2018
    This final notice (Marcus Gray t/a aj motors) 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. FCA Decision Notice 2016: KWS Wealth Management Limited [pdf]

    Decision notices Published: 15/07/2016 Last modified: 15/07/2016
    This Final Notice refers to breaches of COND related to threshold conditions in the investment adviser sector. We imposed a cancellation.

  5. Final Notice 2017: South Kintyre Credit Union Limited [pdf]

    Final notices Published: 22/08/2017
    This final notice refers to breaches of Principle 11 related to failing to be open and co-operative in the credit union sector. We imposed a cancellation.

  6. Final Notice 2020: Lakes Plumbing & Heating Services Ltd [pdf]

    Final notices Published: 12/02/2020
    This final notice (Lakes Plumbing & Heating Services Ltd) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

  7. Final Notice 2019: Standard Life Assurance Limited [pdf]

    Final notices Published: 23/07/2019
    This final notice (Standard Life Assurance Limited) refers to breaches of PRIN 3, PRIN 6 and COBS related to the unfair treatment of customers in the Life Insurance sector. The FCA imposed a financial penalty.

  8. Final Notice 2017: Foreman Financial Services Limited [pdf]

    Final notices Published: 24/10/2017
    This final notice refers to breaches of COND, DISP, PRIN 6 and PRIN 11 related to threshold conditions, unfair treatment of customers and failing to be open and co-operative in the consumer credit and investment adviser sectors. We imposed a

  9. Final Notice 2018: CMAS Financial Services Limited [pdf]

    Final notices Published: 02/07/2018
    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.

  10. Final Notice 2017: Tolworth Motor Company (Surrey) Limited [pdf]

    Final notices Published: 18/08/2017
    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.
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