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Showing 321 to 330 of 1295 search results for This Final Notice refers to breaches of APER.
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Final Notice 2024: Victoria Snoddy [pdf]
This Final Notice (Victoria Snoddy) refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative (PRIN 11) in relation to a new firm authorisation application. We have refused the Application. -
Final Notice 2015: Eldonian Group Ltd [pdf]
This final notice refers to breaches of PRIN 11 and COND related to failing to be open and co-operative in the consumer credit sector. We imposed a refusal. -
Final Notice 2023: Lighthouse Advisory Services Limited [pdf]
This Final Notice refers to breaches of Principles 9 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We published a public censure -
Final Notice 2020: Easydrive Cars Ltd [pdf]
This final notice (Easydrive Cars 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. -
FCA Final Notice 2013: Mr Andrew Jeffery [pdf]
This final notice refers to breaches of APER1 and APER4 related to insurance fraud in the general insurance and protection sector. We imposed a fine and a prohibition order. -
FCA Final Notice 2013: Sesame Limited [pdf]
This final notice refers to breaches of PRIN 3 and PRIN 9 related to mis-selling, and appointed representatives in the investment advisers and platforms sector. We imposed a fine. -
Final Notice 2017: Gareth McCrone [pdf]
This final notice refers to breaches of PRIN related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation. -
Final Notice 2017: Brian Richards [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: PDHL Limited [pdf]
This final notice refers to numerous breaches of CONC Chapter 8 related to an inability to meet Threshold Condition 2D (appropriate non-financial resources) and 2E (Suitability) in the Consumer Credit: Debt Management sector. We imposed a refusal of -
Final Notice 2016: Phillip Whiffin [pdf]
This final notice refers to breaches of PRIN 11 and SUP related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.