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Showing 841 to 850 of 1097 search results for Final Notice refers to breaches of APER 7 related.
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FCA Final Notice 2014: HomeServe Membership Limited [pdf]
This final notice refers to breaches of PRIN 3, PRIN 6 and PRIN 7 related to mis-selling, complaints-handling, unfair treatment of customers, and remuneration in the general insurance and protection sector. We imposed a fine. -
FCA Final Notice 2013: Guaranty Trust Bank (UK) Limited [pdf]
This final notice refers to breaches of PRIN 3 related to financial crime in the retail banks sector. We imposed a fine. -
Final Notice 2019: Mrs Sumera Usman (trading as Motormania Direct) [pdf]
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. -
Final Notice 2017: Christopher James Gocher [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 2016: Patrick Francis McCreesh [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 2023: Bastion Capital London Limited [pdf]
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. -
Final Notice 2016: Window Fitters Warehouse 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. -
Final Notice 2017: Marlin Commercial Limited [pdf]
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. -
Final Notice 2017: Saltus Automotive Limited [pdf]
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. -
FCA Final Notice 2014: Barclays Bank PLC - September 2014 [pdf]
This final notice refers to breaches of PRIN 3, PRIN 10, and CASS related to client money/assets in the investment banks sector. We imposed a fine.