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Showing 671 to 680 of 1090 search results for This Final Notice refers to breaches of APER 1 and 7 related.
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Final notice 2016: Mark Samuel Taylor [pdf]
This final notice refers to breaches of FIT as well as section 118(2) Financial Services and Markets Act 2000, related to market abuse and a lack of fitness/propriety in the wealth management and private banking sector. We imposed a fine and -
Final notice: Andrew Barry Hart [pdf]
This final notice refers to breaches of FIT related to a lack of fitness and propriety in the consumer credit sector. We imposed a prohibition. -
Final notice 2016: Danmirr Capital 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 refusal of the firm's application to carry on the regulated activities of credit broking, deb adjusting and -
Final Notice 2017: Emrose Dean 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. -
FCA Final Notice 2013: Andrew Joseph Powell [pdf]
This final notice refers to breaches of FIT related to lack of fitness/propriety in the wealth management and private banking, investment advisers and platforms sector. We imposed a prohibition. -
Final Notice 2015: Oracle Financial Planning [pdf]
This final notice refers to breaches of Threshold Conditions and PRIN 11 related to failing to be open and co-operative in the general insurance intermediary sector. We imposed a cancellation. -
Final Notice: RMC (Mids) 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: 18 Bikes Limited [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. -
Final Notice 2020: Ryan Fawson (Kingfisher Finance trading as) [pdf]
This final notice (Ryan Fawson (Kingfisher Finance trading as)) 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 2016: Prestige Motor Base 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.