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Showing 1471 to 1480 of 1709 search results for This final notice refers to breaches of COND.
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Final notice 2020: Elizabeth Marie Walker [pdf]
This final notice (Elizabeth Marie Walker) refers to a candidate for approval to perform a controlled function. The candidate did not satisfy us that she met the competence and capability criteria of the FCA’s Fit and Proper Person Test. We -
Final Notice 2021: Transfer Gurus Ltd [pdf]
This final notice (Transfer Gurus Ltd) refers to a failure to demonstrate a willingness to comply with regulatory obligations, and to deal with the Authority in an open and co-operative way in the payment services sector. In order to protect the -
Final Notice 2019: William Scott Dickson (WD Motors trading as) [pdf]
This final notice (William Scott Dickson (WD Motors trading as)) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation -
FCA Final Notice 2014: Castle Wildish Chartered Surveyors [pdf]
This final notice refers to breaches of PRIN 11 related to threshold conditions in the general insurance and protection sector. We imposed a withdrawal. -
Final Notice 2017: Allenby Stevenson 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 2019: Sure-Fire Gas Ltd [pdf]
This final notice (Sure-Fire Gas Ltd) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation. -
Final Notice 2022: Bank House Investment Management Limited [pdf]
This Final Notice (Bank House Investment Management Limited) refers to breaches of PRIN 1 and section 20 FSMA related to mis-selling and failing to be open and co-operative in the investment adviser and pensions sector. We imposed a financial penalty -
Final Notice 2020: Belvedere Finance Limited [pdf]
This final notice (Belvedere Finance Limited) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation. -
FCA Final Notice 2014: The Zim Shop Limited [pdf]
This final notice refers to breaches of PSR related to failing to be open and co-operative in the payment systems sector. We imposed a cancellation. -
Final Notice 2018: Alistair Rae Burns [pdf]
This Final Notice refers to breaches of APER 7 and FIT related to conflicts of interest, a lack of fitness/propriety and mis-selling in the investment adviser and pensions sector. We imposed a fine and a prohibition.