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Showing 781 to 790 of 1295 search results for This Final Notice refers to breaches of APER.
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Final Notice 2023: David Nicholas King [pdf]
This final notice (Mr David Nicholas King) refers to an application to vary a prohibition order imposed as a result of his lack of fitness and propriety following criminal convictions for theft, fraud and handling criminal property. The authority -
Final notice 2015: Carbon Reduction Group Limited [pdf]
This final notice refers to breaches of COND and CONC related to threshold conditions in the consumer credit sector. We imposed a refusal. -
Final Notice 2020: S M Motorhouse Ltd [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation. -
FCA Final Notice 2013: Gurpreet Singh Chadda [pdf]
This final notice refers to breaches of PRIN 1 related to lack of fitness/propriety, failing to be open and co-operative and unfair treatment of customers in the sale and rent back sector. We imposed a fine and prohibition. -
Final Notice 2021: Matthew Andrew Creed [pdf]
This Final Notice (Matthew Andrew Creed) refers to breaches of FIT by a financial adviser. We imposed a prohibition -
Final Notice 2018: Econt UK Ltd [pdf]
This final notice (Econt UK Ltd) refers to breaches of payment services regulations (PSR) related to failing to be open and co-operative in the payment services sector. For the interest and protection of Consumers, we imposed a cancellation. -
Final Notice 2019: Terry John Farr [pdf]
This final notice (Terry John Farr) refers to breaches of FIT related to lack of fitness/propriety and wholesale conduct in the trading firm sector. We imposed a prohibition. -
Final Notice 2020: PT Cars Ltd [pdf]
This final notice (PT Cars 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 2013: AXA Wealth Services Ltd (“AXA”) [pdf]
This final notice refers to breaches of PRIN 9 and COBS related to mis-selling in the investment advisers and platforms sector. We imposed a fine. -
Final Notice 2017: NRG Installer 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.