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Showing 881 to 890 of 2098 search results for This Final Notice refers to breaches.
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Final Notice 2017: Fleetwood and District Credit Union Limited [pdf]
This final notice refers to breaches of Principle 11 related to failing to be open and co-operative in the credit union sector. We imposed a cancellation. -
Final Notice 2020: Strattons of Bournemouth Used Car Sales 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 2014: Chase de Vere Independent Financial Advisers Limited (formerly AWD Chase de Vere Limited) [pdf]
This final notice refers to breaches of PRIN 3, PRIN 7, SYSC, and COBS related to mis-selling in the investment adviser sector. We imposed a redress. -
Final Notice 2017: Elswick and Cruddas Park Credit Union Limited [pdf]
This final notice refers to breaches of Principle 11 related to failing to be open and co-operative in the credit union sector. We imposed a cancellation. -
Final Notice 2022: The TJM Partnership Limited (Formerly known as Neovision Global Capital Limited) (In Liquidation) [pdf]
This Final Notice refers to breaches of PRIN 2 and PRIN 3 related to the risk of financial crime in the trading firms sector. We imposed a financial penalty. -
Final Notice 2018: D & J Roofing & Building Services 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. -
Final notice 2016: Cenkos Securities Plc [pdf]
This final notice refers to listing rules breaches in the sponsor sector. We imposed a fine. -
Final Notice 2020: Peter Howson [pdf]
This Final Notice (Peter Anthony Hoswon) refers to breaches of FIT 2.1 related to lack of fitness and propriety in the Investment Adviser sector. We imposed a prohibition. -
Final Notice 2022: Stuart Rea [pdf]
This Final Notice (Stuart Rea) refers to breaches of FIT. We imposed a prohibition. -
Final Notice 2022: Hugh Edwards [pdf]
This Final Notice (Hugh Edwards) refers to breaches of FIT. We imposed a prohibition.