Search results
Showing 831 to 840 of 2125 search results for This final notice refers to breaches.
-
Final Notice 2018: Larksway Investments Limited (in Liquidation) [pdf]
This final notice refers to breaches of COND, DISP, PRIN 6 and PRIN 11 related to threshold conditions, unfair treatment of customers and failing to be open and co-operative in the Insurance Mediation sector. We imposed a cancellation. -
Final Notice 2017: Edmonton Credit Union Limited [pdf]
This final notice refers to breaches of Principle 11 related to failing to be open and co-operative in the credit union sector. We imposed a cancellation. -
FCA Final Notice 2014: AMI Professional Services Limited [pdf]
This final notice refers to breaches of TC related to threshold conditions in the general insurance and protection sector. We imposed a cancellation. -
Final Notice 2016: Longlands Cars Stockton Limited [pdf]
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. -
Final Notice 2018: One Call Insurance Services Limited [pdf]
This final notice refers to breaches of PRIN 10 and CASS relating to client money/assets in the general insurance and protection sector. We imposed a fine and restriction. -
Final notice 2016: Secure Property Consultants Limited [pdf]
This final notice refers to breaches of COND 2.3, COND 2.4, COND 2.5, COND 2.7, PRIN 11 related to failing to satisfy Threshold Conditions for Part 4A authorisation in the consumer credit sector. We imposed a refusal. -
Final Notice 2019: Ewloe Hall Motors Limited [pdf]
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. -
FCA Final Notice 2013: Bentley-Leek Financial Management Limited [pdf]
This final notice refers to breaches of TC related to threshold conditions in the investment advisers and platforms sector. We imposed a withdrawal. -
Final Notice 2017: Capita Financial Managers Limited [pdf]
This final notice refers to breaches of PRIN 2 and PRIN 7 related to financial promotions in the asset management sector. We imposed a public censure. -
Final Notice: Norcounty Insurance Services Ltd [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in the general insurance and protection and investment adviser sectors. We imposed a cancellation.