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Showing 291 to 300 of 1090 search results for This Final Notice refers to breaches of APER 7 related.

  1. FCA Final Notice 2013: Independent Asset Management U.K. Limited [pdf]

    Final notices Published: 04/09/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 11 related to threshold conditions in the general insurance and protection sector. We imposed a OIVOP and a cancellation.

  2. Final Notice 2017: Charles Rooney [pdf]

    Final notices Published: 05/05/2017
    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.

  3. FCA Final Notice 2013: Alison Moran [pdf]

    Final notices Published: 04/10/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 6 related to financial promotions and unfair treatment of customers in the investment advisers and platforms sector. We imposed a penalty.

  4. Final Notice 2017: Stephen Moore [pdf]

    Final notices Published: 31/03/2017
    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.

  5. Final Notice 2017: Stuart Graham [pdf]

    Final notices Published: 28/02/2017
    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.

  6. Final Notice 2024: Clint Canning (AKA Christian Beauchamp AKA Clint Foster) [pdf]

    Final notices Published: 16/02/2024
    This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

  7. Final Notice 2020: North West Seamless Coating Ltd [pdf]

    Final notices Published: 06/02/2020
    This final notice (North West Seamless Coating Ltd ) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

  8. Final Notice 2020: E-Cars Trading Limited [pdf]

    Final notices Published: 30/09/2020 Last modified: 30/09/2020
    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.

  9. Final Notice 2015: Lee Bruce Stewart [pdf]

    Final notices Published: 30/07/2015 Last modified: 30/07/2015
    This final notice refers to breaches of FIT related to lack of fitness/propriety in the trading firms sector. We imposed a prohibition.

  10. FCA Final Notice 2013: Manna Sha'Meyn Oriental Limited [pdf]

    Final notices Published: 29/10/2013 Last modified: 07/04/2015
    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.