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Showing 891 to 900 of 1295 search results for This Final Notice refers to breaches of APER.

891. Final notice 2016: Coverall Worldwide Ltd [pdf]

     Final notices Published: 01/02/2016 Last modified: 01/02/2016
     This final notice refers to breaches of PRIN 1, PRIN 3, PRIN 10, CASS and COND related to appointed representatives, client money, failing to act on information appropriately, threshold conditions and unfair treatment of customers in the general

892. Final Notice 2015: Arch Financial Products LLP [pdf]

     Final notices Published: 31/03/2015 Last modified: 31/03/2015
     This final notice refers to breaches of PRIN 1, PRIN 3, PRIN 8, SYSC and COB related to conflicts of interests in the investment advisor sector. We imposed a public censure.

893. Final notice 2016: Analyst Investment Management Plc [pdf]

     Final notices Published: 09/08/2016 Last modified: 09/08/2016
     This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the investment adviser sector. We imposed a cancellation.

894. Final Notice 2022: Twist and Scoot Ltd [pdf]

     Final notices Published: 14/04/2022
     This final notice refers to a failure to satisfy threshold conditions (COND) in the credit broking sector. We refused the firm’s application for authorisation.

895. FCA Final Notice 2014: EPLS Risk Solutions Limited (formerly Glen Insurance Consultants Limited) [pdf]

     Final notices Published: 23/09/2014 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 11 related to threshold conditions in the general insurance intermediary sector. We imposed a cancellation.

896. Final Notice 2019: Savatori Oliverio [pdf]

     Final notices Published: 28/08/2019
     This final notice refers to breaches of FIT related to a lack of fitness/propriety in the private business adviser sector. We imposed a prohibition.

897. Final Notice 2017: Andrews Television Ltd [pdf]

     Final notices Published: 21/08/2017
     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.

898. Final Notice 2020: The Coffee Counter Ltd [pdf]

     Final notices Published: 12/02/2020
     This final notice (The Coffee Counter 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.

899. Final Notice 2020: Acacia Trading Ltd [pdf]

     Final notices Published: 21/05/2020
     This final notice (Acacia Trading Ltd) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

900. Final notice 2020: Grange Finance Limited [pdf]

     Final notices Published: 21/05/2020
     This final notice (Grange Finance Limited) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.