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Showing 1031 to 1040 of 1340 search results for Final Notice refers to breaches of FIT.

1031. Final Notice 2015: Glocal Capital Partners Limited [pdf]

      Final notices Published: 19/03/2015 Last modified: 19/03/2015
      This final notice refers to breaches of Threshold Conditions, PRIN 11 related to failing to be open and co-operative in the Designated Investment Business sector. We imposed a cancellation.

1032. Final Notice 2022: J Hawes Solutions ltd [pdf]

      Final notices Published: 24/11/2022
      This Final Notice refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the Consumer Credit sector. We imposed a cancellation.

1033. Final Notice 2020: Hall and Hanley Limited (HHL) [pdf]

      Final notices Published: 21/01/2020
      This Final Notice refers to breaches of the Conduct of Authorised Persons Rules 2014 (“CAPR”) in relation to misleading consumers to claims and unfair treatment of consumers in the claims management sector. We imposed a financial penalty.

1034. Final Notice 2021: Christian Julian Jones [pdf]

      Final notices Published: 10/02/2021
      This final notice (Christian Julian Jones) refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority PRIN 11 in the consumer credit sector. We imposed a cancellation

1035. Final Notice 2022: Wolves Trade Centre Ltd [pdf]

      Final notices Published: 16/02/2022
      This final notice (Wolves Trade Centre Ltd) refers to a failure to satisfy threshold conditions (COND) in the credit broking sector. We refused the firm’s application for authorisation.

1036. Final Notice 2017: Dunston Car Centre Limited [pdf]

      Final notices Published: 30/08/2017
      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.

1037. Final Notice 2024: Link Fund Solutions Limited [pdf]

      Final notices Published: 11/04/2024
      This Final Notice refers to a failure by Link Fund Solutions Limited to act with due skill, care and diligence in carrying out its role as Authorised Corporate Director of the Woodford Equity Income Fund. We imposed a requirement to pay restitution

1038. Final Notice 2017: Clive John Rosier [pdf]

      Final notices Published: 05/10/2017
      This final notice (Clive Rosier) refers to breaches of APER 2 and APER 7 for complaints-handling, failure to demonstrate that suitable advice was given and lack of fitness/propriety in the investment adviser sector. We imposed a fine, withdrawal and

1039. FCA Final Notice 2014: Collingwood Mourton Associates Limited [pdf]

      Final notices Published: 18/12/2014 Last modified: 18/12/2014
      This final notice refers to breaches of threshold conditions in the investment and home finance sector. We imposed a cancellation.

1040. FCA Final Notice 2014: The Zim Shop Limited [pdf]

      Final notices Published: 09/04/2014 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.