Filter results
Filter by document type
Filter by year
Sort by:

Search results

Showing 671 to 680 of 1340 search results for Final Notice refers to breaches of FIT.

  1. Final Notice 2019: Egcars [pdf]

    Final notices Published: 10/04/2019
    This final notice (Egcars) 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 of the applicant’s Part 4A application.

  2. Final Notice 2017: Christopher Niehaus [pdf]

    Final notices Published: 30/03/2017
    This final notice refers to breaches of APER 2 related to wholesale conduct in the investment banking sector. We imposed a fine.

  3. Final Notice 2015: Sam Thomas Kenny [pdf]

    Final notices Published: 13/03/2015 Last modified: 13/03/2015
    This final notice refers to breaches of APER 1 and APER 7 related to unfair treatment of customers, mis-selling, lack of fitness/propriety in the investment adviser sector. We imposed a fine and a prohibition.

  4. Final notice 2016: Cult Racing Limited [pdf]

    Final notices Published: 30/06/2016 Last modified: 30/06/2016
    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.

  5. FCA Final Notice 2014: Peter Thomas Carron [pdf]

    Final notices Published: 16/09/2014 Last modified: 07/04/2015
    This final notice refers to breaches of APER 1 related to unfair treatment of customers, and lack of fitness/propriety in the investment adviser sector. We imposed a fine and a prohibition.

  6. Final Notice 2018: Keith Buckfield [pdf]

    Final notices Published: 08/05/2018
    This final notice (Keith Buckfield) 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: Leonard Bradley [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.

  8. Final Notice 2015: Benbron Solutions Limited [pdf]

    Final notices Published: 12/10/2015 Last modified: 12/10/2015
    This final notice refers to breaches of PSR related to Payment Services Regulations and failing to be open and co-operative in the payment services sector. We imposed a cancellation.

  9. Final Notice 2017: Dennis Ferguson [pdf]

    Final notices Published: 09/10/2017
    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.

  10. Final notice 2020: Southgate Garage [pdf]

    Final notices Published: 25/02/2020
    This final notice (Southgate Garage) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.
Related searches
Related topics