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Showing 1051 to 1060 of 1295 search results for This Final Notice refers to breaches of APER.
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FCA Final Notice 2013: Catalyst Investment Group Limited [pdf]
This final notice refers to breaches of PRIN 1 and PRIN 6 related to financial promotions and unfair treatment of customers in the investment advisers and platforms sector. We imposed a public censure. -
Final Notice 2017: KWS Wealth Management Limited [pdf]
This final notice refers to breaches of the suitability Threshold Condition in the Investment Adviser sector. We imposed a cancellation. -
Final Notice 2021: Race 2 Off-road Ltd [pdf]
This final notice (Race 2 Off-road Ltd) refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority PRIN 11 in the consumer credit sector. We imposed a cancellation -
Final Notice 2017: Mr John Chiesa [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition and withdrawal. -
Final Notice 2023: Jeffrey Rawlins (trading as Citylenders) [pdf]
This final notice refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the consumer credit sector. We imposed a cancellation. -
Final Notice 2019: Samrat Deep Bhandari [pdf]
This final notice (Samrat Deep Bhandari) refers to breaches of FIT, which relates to honesty, integrity and reputation. We imposed a prohibition order. -
Final Notice 2017: Lux Automotive Sales 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 2017: Eco Solutions (UK) 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 2020: Custom and Co Jewellery Ltd [pdf]
This final notice (Custom and Co Jewellery Ltd) 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: Atlas Bridge Finance 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.