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Showing 1171 to 1180 of 2125 search results for This final notice refers to breaches.
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Final Notice 2019: Stewart Owen Ford [pdf]
This final notice (Stewart Owen Ford) refers to breaches by an executive director of APER 1, APER 4 and FIT related to mis-selling, failing to be open and co-operative, a lack of fitness/propriety, conflicts of interest, and failing to act on -
Final Notice 2019: JS Bedford Motors Ltd [pdf]
This final notice (JS Bedford Motors 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 2024: James William Edward Lewis [pdf]
This Final Notice refers to a failure to act with due care, skill and integrity. We imposed a financial penalty and a prohibition order. -
Final Notice 2020: Caerphilly Van Centre Limited [pdf]
This final notice Caerphilly Van Centre Limited 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 2021: Start Your Claims Ltd [pdf]
This final notice (Start Your Claims Ltd) refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative with the regulator (PRIN 11) in the claims management sector. We refused the firm’s application for authorisation. -
Final Notice 2022: Lifestyle Car Sale Ltd [pdf]
This Final Notice 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. -
Final Notice 2021: Quality Cars Poole Limited [pdf]
This final notice (Quality Cars Poole Ltd) refers to a failure to satisfy the threshold conditions (COND) and to be open and cooperative with the regulator (PRIN 11) in the consumer credit sector. We refused the firm’s application for authorisation -
Final Notice 2020: Asia Research and Capital Management Ltd [pdf]
This Final Notice refers to Asia Research and Capital Management’s failure to notify the FCA and disclose to the public its net short position in Premier Oil in breach of short selling disclosure rules. We have fined the firm £873,118. -
Final Notice 2023: Jeffrey Rawlins (trading as Citylenders) [pdf]
This final notice 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. -
Final Notice 2021: Race 2 Off-road Ltd [pdf]
This final notice (Race 2 Off-road 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