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Showing 1031 to 1040 of 1090 search results for This Final Notice refers to breaches of APER 1 and 7 related.
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Final Notice 2015: Andrew Baxter trading as Wealth Management [pdf]
This final notice refers to breaches of Principle 11 / COND related to threshold conditions and failing to be open and co-operative in the investment advisor sector. We imposed a cancellation. -
Final Notice 2023: ADM Investor Services International Limited [pdf]
This Final Notice refers to breaches of Principle 3 of the FCA’s Principles for Business related to serious financial crime control failings in the Wholesale Intermediaries and Brokers sector. We imposed a financial penalty of £6,470,600. -
Final Notice 2017: Oakham Mills Motor Company Limited [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: Helping Young People Excel Limited [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: Mueller Precious Metal Trading LLP [pdf]
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. -
Final notice 2019: Tullett Prebon (Europe) Limited [pdf]
This final notice (Tullett Prebon (Europe) Limited) refers to breaches of PRIN 2, PRIN 3 and PRIN 11 related to wholesale conduct and failing to be open and co-operative in the trading firm sector. We imposed a financial penalty. -
Final Notice 2017: South Kintyre Credit Union Limited [pdf]
This final notice refers to breaches of Principle 11 related to failing to be open and co-operative in the credit union sector. We imposed a cancellation. -
Final Notice 2020: Lakes Plumbing & Heating Services Ltd [pdf]
This final notice (Lakes Plumbing & Heating Services Ltd) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation. -
Final Notice 2018: Marcus Gray t/a aj motors [pdf]
This final notice (Marcus Gray t/a aj motors) 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: Tolworth Motor Company (Surrey) Limited [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.