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Showing 1081 to 1090 of 1340 search results for Final Notice refers to breaches of FIT.
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Final Notice 2021: Start Your Claims Ltd [pdf]
This final notice (Start Your Claims Ltd) refers to a failure to satisfy 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 authorisation. -
Final Notice 2019: Audi Technik Centre Ltd [pdf]
This final notice (Audi Technik Centre Ltd) 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 2021: Quality Cars Poole Limited [pdf]
This final notice (Quality Cars Poole Ltd) refers to a failure to satisfy the threshold conditions (COND) and to be open and cooperative with the regulator (PRIN 11) in the consumer credit sector. We refused the firm’s application for authorisation -
Final Notice 2021: Race 2 Off-road Ltd [pdf]
This final notice (Race 2 Off-road Ltd) 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 -
FCA Final Notice 2013: Catalyst Investment Group Limited [pdf]
This final notice refers to breaches of PRIN 1 and PRIN 6 related to financial promotions and unfair treatment of customers in the investment advisers and platforms sector. We imposed a public censure. -
Final Notice 2023: Jeffrey Rawlins (trading as Citylenders) [pdf]
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. -
Final Notice 2022: Bank House Investment Management Limited [pdf]
This Final Notice (Bank House Investment Management 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 financial penalty -
Final Notice 2017: KWS Wealth Management Limited [pdf]
This final notice refers to breaches of the suitability Threshold Condition in the Investment Adviser sector. We imposed a cancellation. -
Final Notice 2024: James William Edward Lewis [pdf]
This Final Notice refers to a failure to act with due care, skill and integrity. We imposed a financial penalty and a prohibition order. -
Final Notice 2017: Lux Automotive Sales Ltd [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.