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Showing 561 to 570 of 2098 search results for This Final Notice refers to breaches.

  1. Final Notice 2019: Kevin Gorman [pdf]

    Final notices Published: 20/12/2019
    This Final Notice refers to breaches of Article 19(1) of MAR related to failing to notify trading in shares to their issuer and the FCA as a PDMR in the issuer sector. We imposed a financial penalty.

  2. Final Notice 2015: Oracle Financial Planning [pdf]

    Final notices Published: 02/07/2015 Last modified: 02/07/2015
    This final notice refers to breaches of Threshold Conditions and PRIN 11 related to failing to be open and co-operative in the general insurance intermediary sector. We imposed a cancellation.

  3. Final Notice 2017: 21st Telecoms 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.

  4. Final notice 2016: Danmirr Capital Limited [pdf]

    Final notices Published: 20/09/2016
    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 refusal of the firm's application to carry on the regulated activities of credit broking, deb adjusting and

  5. Final Notice 2015: Paul Robertson trading as Tony Robertson Insurance [pdf]

    Final notices Published: 13/07/2015 Last modified: 13/07/2015
    This final notice refers to breaches of PRIN 11 related to threshold conditions and failing to be open and co-operative in the mortgages sector. We imposed a cancellation.

  6. FCA Final Notice 2013: Nicholas Welsh & Co Limited [pdf]

    Final notices Published: 03/07/2013 Last modified: 07/04/2015
    This Final Notice refers to breaches of TC related to threshold conditions in the investment advisors & platforms sector. We imposed a cancellation.

  7. Final Notice 2016: The Heating Design Centre (James Gary Law trading as) [pdf]

    Final notices Published: 26/10/2016
    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.

  8. Final Notice 2017: Emrose Dean Ltd [pdf]

    Final notices Published: 21/08/2017
    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.

  9. Final Notice 2015: Peter Charles Legerton [pdf]

    Final notices Published: 20/03/2015 Last modified: 20/03/2015
    This final notice refers to breaches of APER 7 and FIT related to mis-selling, lack of fitness/propriety, and conflicts of interests in the investment adviser sector. We imposed a public censure, withdrawal, and a prohibition.

  10. Final notice 2016: Wayne Anthony Redgrave [pdf]

    Final notices Published: 01/02/2016 Last modified: 01/02/2016
    This final notice refers to breaches of APER 6 and ICOBS related to appointed representatives, failing to act on information appropriately and unfair treatment of customers in the general insurance and protection sector. We imposed a fine.
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