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Showing 531 to 540 of 1201 search results for This final notice refers to breaches of COND related.
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Final Notice 2017: Afzal Ali [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 2016: Tim Morse [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 2022: Julius Baer International Limited [pdf]
This Final Notice refers to breaches of PRIN 1, PRIN 3 and PRIN 11 related to failing to act with integrity, governance and failing to be open and co-operative in the in the Wealth Management and Private Banking sector. We imposed a financial penalty -
Final Notice: Motor Spot 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. -
FCA Final Notice 2014: Mohammed Tazul Islam [pdf]
This final notice refers to breaches of PRIN 11 related to threshold conditions in the mortgages sector. We imposed a cancellation. -
Final Notice 2015: Paul Christopher Ridden [pdf]
This final notice refers to breaches of FIT, related to threshold conditions in the consumer credit sector. We imposed a cancellation. -
Final notice 2016: Good Motors Limited [pdf]
This final notice refers to breaches of Principle 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation. -
FCA Final Notice 2013: Jeffrey Simon Bennett [pdf]
This final notice refers to breaches of APER 6 related to misselling and lack of fitness/propriety in the investment advisers and platforms sector. We imposed a fine, a prohibition order and withdrawal of approval. -
FCA Final Notice 2013: Hyde Gardens Limited [pdf]
This Final Notice refers to breaches of PRIN 11 related to threshold conditions in the investment advisors & platforms sector. We imposed a cancellation. -
FCA Final Notice 2013: Arch Motors Limited [pdf]
This final notice refers to breaches of PRIN 11 related to threshold conditions in the general insurance and protection sector. We imposed a cancellation.