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Showing 461 to 470 of 1295 search results for This Final Notice refers to breaches of APER.

  1. FCA Final Notice 2014: Mark Ian Warner trading as Advanced Financial Management [pdf]

    Final notices Published: 29/05/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 11 related to threshold conditions in the investment advisor sector. We imposed an OIVOP and a cancellation.

  2. Final Notice 2016: Adam Philip Hawkins [pdf]

    Final notices Published: 01/11/2016
    This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

  3. Final Notice 2023: Autofinch Limited [pdf]

    Final notices Published: 27/07/2023
    This final notice (Autofinch Limited) 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.

  4. Final notice 2015: Fast Track Money Transfer (UK) Limited [pdf]

    Final notices Published: 13/11/2015 Last modified: 13/11/2015
    This final notice refers to breaches of the Payment Services Regulations 2009 (the PSRs), Regulation 6, related to failure to meet the conditions for authorisation. We imposed a refusal of the firm’s application for authorisation as a payment

  5. Final notice 2016: Good Motors Limited [pdf]

    Final notices Published: 03/03/2016 Last modified: 03/03/2016
    This final notice refers to breaches of Principle 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  6. Final Notice 2018: Canara Bank [pdf]

    Final notices Published: 06/06/2018
    This FCA Final Notice (Canara Bank) refers to breaches of Principle 3 and SYSC related to financial crime in the retail bank sector. We imposed a fine and restriction.

  7. FCA Final Notice 2013: Arch Motors Limited [pdf]

    Final notices Published: 09/08/2013 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.

  8. FCA Final Notice 2013: David John Nickless [pdf]

    Final notices Published: 31/05/2013 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.

  9. Final Notice 2018: Emily Cook [pdf]

    Final notices Published: 18/05/2018
    This final notice (Emily Cook) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  10. Final Notice 2018: Robert Hyde [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.
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