Search results

Showing 691 to 700 of 2098 search results for This Final Notice refers to breaches.

691. FCA Final Notice 2013: Safe Reliable Services Limited [pdf]

     Final notices Published: 04/11/2013 Last modified: 07/04/2015
     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.

692. Final Notice 2015: Focus Wealth Management LLP [pdf]

     Final notices Published: 14/04/2015 Last modified: 14/04/2015
     This final notice refers to breaches of Principle 11 and TC related to threshold conditions, failing to be open and co-operative in the investment advisor sector. We imposed a cancellation.

693. FCA Final Notice 2014: Usman International UK Limited [pdf]

     Final notices Published: 13/01/2014 Last modified: 07/04/2015
     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.

694. Final Notice 2017: Station Road Cars Ltd [pdf]

     Final notices Published: 19/10/2017
     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.

695. Final Notice 2015: MGI Asset Management Limited [pdf]

     Final notices Published: 05/08/2015 Last modified: 05/08/2015
     This final notice refers to breaches of PRIN 11, related to threshold conditions and failing to be open and co-operative in the investment adviser sector. We imposed a cancellation.

696. Final notice 2016: Andrea Christine Sadler [pdf]

     Final notices Published: 01/02/2016 Last modified: 01/02/2016
     This final notice refers to breaches of APER 6 and FIT related to appointed representatives, client money, failing to act on information appropriately, lack of fitness/propriety and unfair treatment of customers in the general insurance and

697. FCA Final Notice 2013: Berkeley Consultants (UK) Limited [pdf]

     Final notices Published: 27/11/2013 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 11 related to threshold conditions in the general insurance and protection sector. We imposed a cancellation.

698. Final Notice 2018: East Pennine O E [pdf]

     Final notices Published: 21/09/2018
     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

699. Final Notice 2018: Direct Savings (Scotland) Limited [pdf]

     Final notices Published: 01/02/2018
     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.

700. FCA Final Notice 2013: Guaranty Trust Bank (UK) Limited [pdf]

     Final notices Published: 08/08/2013 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 3 related to financial crime in the retail banks sector. We imposed a fine.