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Showing 1141 to 1150 of 1340 search results for Final Notice refers to breaches of FIT.

  1. Final Notice 2015: Steven Martin [pdf]

    Final notices Published: 23/10/2015 Last modified: 23/10/2015
    This Final Notice refers to breaches of APER 6 and MCOB (Mortgage Conduct of Business Rules) related to unfair treatment of customers in the sale and rent back sector. We imposed a public censure and redress.

  2. Final Notice 2017: Vehicle Lease Solutions Limited [pdf]

    Final notices Published: 04/12/2017
    This final notice refers to breaches of PRIN 11 and COND related to failing to be open and co-operative in the consumer credit sector. We imposed a refusal.

  3. Final Notice 2015: Execution Noble & Company Limited [pdf]

    Final notices Published: 06/01/2015 Last modified: 06/01/2015
    This final notice refers to breaches of the Listing Rules related to failing to be open and co-operative in the sponsor sector. We imposed a fine.

  4. Final Notice 2020: Premier Motor Group Limited [pdf]

    Final notices Published: 08/06/2020
    This final notice (Premier Motor Group Limited) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

  5. Final Notice 2020: Sean Morrison (trading as GL51 Cars) [pdf]

    Final notices Published: 05/08/2020
    This final notice Sean Morrison (trading as GL51 Cars) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  6. 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.

  7. Final Notice: Wellsons Vehicle Solutions 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.

  8. Final Notice 2022: L B Commercials Limited [pdf]

    Final notices Published: 04/02/2022
    This Final Notice (L B Commercials Limited) 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.

  9. 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.

  10. Final Notice 2020: Asia Research and Capital Management Ltd [pdf]

    Final notices Published: 14/10/2020 Last modified: 14/10/2020
    This Final Notice refers to Asia Research and Capital Management’s failure to notify the FCA and disclose to the public its net short position in Premier Oil in breach of short selling disclosure rules. We have fined the firm £873,118.
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