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Showing 591 to 600 of 2098 search results for This Final Notice refers to breaches.
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Final Notice 2018: John Lawrence Radford [pdf]
This final notice refers to breaches of APER 6, APER 7 and CASS relating to client money/assets and lack of fitness/propriety in the general insurance and protection sector. We imposed a fine and prohibition. -
Final notice 2016: Timothy Alan Roberts [pdf]
This final notice refers to breaches of APER 1 and APER 6 related to the unfair treatment of customers in the investment adviser sector. We imposed a fine and prohibition. -
Final Notice 2017: Corry Car Sales [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. -
Final Notice 2017: Car For Today 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. -
Final notice 2016: Prestige Motor Base Limited [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. -
FCA Final Notice 2013: AXA Wealth Services Ltd (“AXA”) [pdf]
This final notice refers to breaches of PRIN 9 and COBS related to mis-selling in the investment advisers and platforms sector. We imposed a fine. -
Final Notice 2020: S M Motorhouse Ltd [pdf]
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. -
Final Notice 2017: Church Hill Finance (Anthony Badaloo trading as) [pdf]
This Final Notice refers to breaches of COND related to threshold conditions in the investment adviser sector. We imposed a cancellation. -
FCA Final Notice 2014: Forex Trading (UK) Limited [pdf]
This final notice refers to breaches of PSR related to failing to be open and co-operative in the payment systems sector. We imposed a cancellation. -
FCA Final Notice 2014: Mega Advice Services Ltd [pdf]
This final notice refers to breaches of PSR related to failing to be open and co-operative in the payment systems sector. We imposed a cancellation.