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Showing 661 to 670 of 1295 search results for This Final Notice refers to breaches of APER.
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FCA Final Notice 2013: Leader Transfer Limited [pdf]
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. -
Final Notice 2017: Richard Greenwood [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: GM Contracts Limited [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 2017: Paul Axel Walter [pdf]
This final notice refers to breaches of section 118 FSMA related to market abuse in the trading firm sector. We imposed a financial penalty. -
FCA Final Notice 2013: Swinton Group Limited [pdf]
This final notice refers to breaches of PRIN 3, PRIN 6 and PRIN 7 related to unfair treatment of customers in the general insurance and protection sector. We imposed a fine. -
Final Notice: Gemmax Solutions Limited [pdf]
This final notice refers to breaches of PSR related to failing to be open and co-operative and payment services regulations in the payment services sector. We imposed a cancellation. -
FCA Final Notice 2014: David John Hewitt trading as Bexley Insurance Centre [pdf]
This final notice refers to breaches of PRIN 11 related to threshold conditions in the general insurance, intermediary sector. We imposed a cancellation. -
Final Notice 2023: Ovi Motors Ltd [pdf]
This Final Notice (Ovi Motors 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. -
FCA Final Notice 2014: Craig Stuart Cameron [pdf]
This final notice refers to breaches of APER1 and FIT related to lack of fitnes/propriety and unfair treatment of customers in the investment adviser and platform sector. We imposed a fine and a prohibition. -
Final Notice 2019: E & N Ritchie [pdf]
This final notice (E & N Ritchie) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.