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Showing 971 to 980 of 1097 search results for Final Notice refers to breaches of APER 7 related.

  1. Final Notice 2020: Lakeside Motor Group Limited [pdf]

    Final notices Published: 12/02/2020
    This final notice (Lakeside Motor Group Limited) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  2. FCA Final Notice 2014: Invesco Asset Management Limited, Invesco Fund Managers Limited [pdf]

    Final notices Published: 28/04/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 3, PRIN 7 and COLL related to unfair treatment of customers in the asset management sector. We imposed a fine.

  3. Final notice 2016: Park Grove Financial Management Limited [pdf]

    Final notices Published: 27/06/2016 Last modified: 27/06/2016
    This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the general insurance and protection sector. We imposed a cancellation.

  4. FCA Final Notice 2014: Forex Capital Markets Limited (FXCM Ltd) and FXCM Securities Limited (FXCM Securities) [pdf]

    Final notices Published: 26/02/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 6, PRIN 11, and COBS related to unfair treatment of customers, and failing to be open and co-operative in the trading firms sector. We imposed a fine and redress.

  5. Final Notice 2017: RS Automotive Tunstall Limited [pdf]

    Final notices Published: 19/09/2017
    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.

  6. Final Notice 2018: Reginald George Arthur Jones [pdf]

    Final notices Published: 01/03/2018
    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.

  7. Final Notice 2018: Mr James Edward Staley [pdf]

    Final notices Published: 11/05/2018
    This final notice (Mr James Edward Staley) refers to breaches of Individual Conduct Rule 2 (COCON 2.1.2) related to conflicts of interest (whistleblowing, CEO accountability) in the retail bank sector. We imposed a fine.

  8. Final Notice 2020: Caerphilly Van Centre Limited [pdf]

    Final notices Published: 05/08/2020
    This final notice Caerphilly Van Centre Limited 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 2019: JS Bedford Motors Ltd [pdf]

    Final notices Published: 20/09/2019
    This final notice (JS Bedford Motors Ltd) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

  10. FCA Final Notice 2014: Great Wall Financial Service Limited [pdf]

    Final notices Published: 17/03/2014 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 systems sector. We imposed a cancellation.
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