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Showing 881 to 890 of 2125 search results for This final notice refers to breaches.
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FCA Decision Notice 2016: KWS Wealth Management Limited [pdf]
This Final Notice refers to breaches of COND related to threshold conditions in the investment adviser sector. We imposed a cancellation. -
Final Notice 2018: Liberty Mutual Insurance Europe SE [pdf]
This final notice refers to breaches of PRIN 3, PRIN 6, SYSC, ICOBS and DISP related to complaints-handling, culture/governance and unfair treatment of customers in the general insurance and protection sector. We imposed a fine. -
Final Notice 2017: Dr Saim Köksal trading as Arcis Management Consultancy [pdf]
This final notice refers to breaches of PRIN 11 and COND related to failing to be open and co-operative in the consumer credit sector. We imposed a refusal of the applicant’s Part 4A application. -
Final Notice 2017: Greater Pollokshaws 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. -
Final Notice 2017: Redcar and District 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. -
Final Notice 2017: Steven Maoudis trading as Montana Debt Management [pdf]
This final notice refers to breaches of COND related to concerns arising out of the applicant’s knowledge of available debt solutions, advice process used to advise clients, and business continuity plan. We imposed a refusal of the applicant’s -
Final Notice 2018: Vehicle Contract Solutions (Roy Ulliott Trading as) [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 2017: One Call Vehicle Leasing Southwest 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 2017: Fleetwood and District 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. -
Final Notice 2020: Strattons of Bournemouth Used Car Sales 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.