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Showing 701 to 710 of 2125 search results for This final notice refers to breaches.

  1. 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

  2. Final Notice 2017: Station Road Cars Ltd [pdf]

    Final notices Published: 19/10/2017
    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: MGI Asset Management Limited [pdf]

    Final notices Published: 05/08/2015 Last modified: 05/08/2015
    This final notice refers to breaches of PRIN 11, related to threshold conditions and failing to be open and co-operative in the investment adviser sector. We imposed a cancellation.

  4. FCA Final Notice 2013: Berkeley Consultants (UK) Limited [pdf]

    Final notices Published: 27/11/2013 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 cancellation.

  5. Final notice 2016: Andrea Christine Sadler [pdf]

    Final notices Published: 01/02/2016 Last modified: 01/02/2016
    This final notice refers to breaches of APER 6 and FIT related to appointed representatives, client money, failing to act on information appropriately, lack of fitness/propriety and unfair treatment of customers in the general insurance and

  6. Final Notice 2018: East Pennine O E [pdf]

    Final notices Published: 21/09/2018
    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

  7. FCA Final Notice 2013: Guaranty Trust Bank (UK) Limited [pdf]

    Final notices Published: 08/08/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 3 related to financial crime in the retail banks sector. We imposed a fine.

  8. Final Notice 2018: Direct Savings (Scotland) Limited [pdf]

    Final notices Published: 01/02/2018
    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.

  9. Final Notice 2017: Octopus Finance & Leasing Ltd [pdf]

    Final notices Published: 30/08/2017
    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.

  10. Final Notice 2019: AMG Specs Limited [pdf]

    Final notices Published: 29/07/2019
    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.
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