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Showing 591 to 600 of 2125 search results for This final notice refers to breaches.

591. FCA Final Notice 2014: Martin Brokers (UK) Ltd (Martins) [pdf]

     Final notices Published: 15/05/2014 Last modified: 24/02/2015
     This final notice refers to breaches of PRIN 3 and PRIN 5 related to wholesale conduct, benchmarks, and culture/governance in the trading firm. We imposed a fine.

592. Final Notice 2015: Auto Leasing UK Limited [pdf]

     Final notices Published: 04/11/2015 Last modified: 04/11/2015
     This Final Notice refers to breaches of COND and CONC related to Threshold Conditions in the Consumer Credit sector. We imposed a refusal.

593. FCA Final Notice 2013: Martin Richard Moseling trading as Blenheim Financial Services [pdf]

     Final notices Published: 15/07/2013 Last modified: 07/04/2015
     This Final Notice refers to breaches of PRIN 6 related to threshold conditions in the investment advisors & platforms sector. We imposed a cancellation.

594. FCA Final Notice 2014: Credit Suisse International [pdf]

     Final notices Published: 16/06/2014 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 7 and COBS related to financial promotions, mis-selling, remuneration in the investment banks sector. We imposed a fine.

595. Final Notice 2015: Andrew Peter Wilkins [pdf]

     Final notices Published: 27/10/2015 Last modified: 27/10/2015
     This Final Notice refers to breaches of APER 6 related to unfair treatment of customers in the Investment Advisor sector. We imposed a fine.

596. Final notice: Andrew Barry Hart [pdf]

     Final notices Published: 13/10/2016
     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.

597. FCA Final Notice 2013: Christopher John Riches [pdf]

     Final notices Published: 05/06/2013 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 1 and PRIN 11 related to lack of fitness/propriety, failing to be open and co-operative and threshold conditions in the mortgages and consumer credit sector. We imposed a fine, withdrawal and a prohibition

598. FCA Final Notice 2013: Castlehill Wealth Management Limited [pdf]

     Final notices Published: 16/04/2013 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.

599. Final Notice 2017: NRG Installer Ltd [pdf]

     Final notices Published: 06/11/2017
     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.

600. Final Notice 2017: Mymoneyman Finance Limited [pdf]

     Final notices Published: 03/01/2017
     This final notice refers to breaches of COND and PRIN 1.1 related to failing to be open and co-operative in the consumer credit sector. We imposed a refusal.