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Showing 541 to 550 of 2098 search results for This Final Notice refers to breaches.

  1. Final Notice 2017: Yo Yo Vending Limited [pdf]

    Final notices Published: 04/07/2017
    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.

  2. FCA Final Notice 2013: Mark Bentley-Leek [pdf]

    Final notices Published: 18/10/2013 Last modified: 07/04/2015
    This final notice refers to breaches of APER 1 and 7 related to mis-selling, lack of fitness and propriety, and conflicts of interest in the investment advisors and platforms sector. We imposed a prohibition, withdrawal and a fine .

  3. Final Notice: Samlet Car Sales Ltd [pdf]

    Final notices Published: 14/10/2016
    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.

  4. Final Notice 2017: Autocity (Scotland) Limited [pdf]

    Final notices Published: 28/02/2017
    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.

  5. Final Notice 2015: Ralph Whittington [pdf]

    Final notices Published: 10/09/2015 Last modified: 10/09/2015
    This final notice refers to breaches of APER 1 and FIT related to lack of fitness/propriety, client money/assets and insurance fraud in the general insurance and protection sector. We imposed a fine, prohibition, and withdrawal.

  6. FCA Final Notice 2013: Martin Richard Moseling trading as Blenheim Financial Services [pdf]

    Final notices Published: 15/07/2013 Last modified: 07/04/2015
    This Final Notice refers to breaches of PRIN 6 related to threshold conditions in the investment advisors & platforms sector. We imposed a cancellation.

  7. FCA Final Notice 2014: Credit Suisse International [pdf]

    Final notices Published: 16/06/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 7 and COBS related to financial promotions, mis-selling, remuneration in the investment banks sector. We imposed a fine.

  8. Final Notice 2018: Terence Sefton Potter [pdf]

    Final notices Published: 29/05/2018
    This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment sector. We imposed a prohibition.

  9. Final Notice 2023: Andrew John Allen [pdf]

    Final notices Published: 13/09/2023
    This Final Notice refers to breaches of APER 6 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We imposed a partial prohibition and public censure. A payment of £85,606 is being made to the FSCS

  10. Final notice 2016: Terence Andrew Joint [pdf]

    Final notices Published: 09/05/2016 Last modified: 09/05/2016
    This final notice refers to breaches of APER 6, APER 7, FIT and CASS related to a lack of fitness/propriety and client money/assets misconduct in the general insurance and protection sector. We imposed a fine and prohibition.
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