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Showing 471 to 480 of 2125 search results for This final notice refers to breaches.

  1. Final Notice 2017: David Stephen Hancock [pdf]

    Final notices Published: 29/03/2017
    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.

  2. Final Notice 2017: Tonik Mobility Limited [pdf]

    Final notices Published: 24/07/2017
    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. Final Notice 2015: Paul Christopher Ridden [pdf]

    Final notices Published: 18/02/2015 Last modified: 18/02/2015
    This final notice refers to breaches of FIT, related to threshold conditions in the consumer credit sector. We imposed a cancellation.

  4. Final notice 2016: GGK Investments Limited [pdf]

    Final notices Published: 15/06/2016 Last modified: 15/06/2016
    This final notice refers to breaches of PRIN 4, COND and INPRU-INV related to threshold conditions in the investment adviser sector. We imposed a cancellation.

  5. FCA Final Notice 2014: Lloyds Bank plc and Bank of Scotland plc [pdf]

    Final notices Published: 28/07/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 3 and PRIN 5 related to wholesale conduct, benchmarks, and conflicts of interest in the retail banks sector. We imposed a fine.

  6. Final Notice 2018: Alexander David Osborne Stuart [pdf]

    Final notices Published: 26/03/2018
    This final notice refers to breaches of APER 1 and FIT relating to a lack of fitness/propriety in the investment adviser sector. We imposed a fine and prohibition.

  7. Final Notice 2017: JNZ Autocentre Limited [pdf]

    Final notices Published: 10/04/2017
    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.

  8. FCA Final Notice 2014: Derick Anthony Whewall [pdf]

    Final notices Published: 21/05/2014 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 cancellation.

  9. FCA Final Notice 2013: Ingram Graham Limited (in Creditors’ Voluntary Liquidation) [pdf]

    Final notices Published: 21/08/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 11 related to threshold conditions in the investment advisors & platforms sector. We imposed a cancellation.

  10. Final notice 2016: Peter Charles Bottomley [pdf]

    Final notices Published: 08/03/2016 Last modified: 08/03/2016
    This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.
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