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Showing 541 to 550 of 1201 search results for This final notice refers to breaches of COND related.

541. FCA Final Notice 2013: David John Nickless [pdf]

     Final notices Published: 31/05/2013 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.

542. Final Notice 2018: John McCullagh [pdf]

     Final notices Published: 03/10/2018
     This final notice refers to breaches of FIT related to a lack of fitness/propriety in the consumer credit sector. We imposed a prohibition.

543. Final Notice 2018: Russell Taylor [pdf]

     Final notices Published: 14/11/2018
     This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

544. Final Notice 2018: Maddison Cars (John Maddison trading as) [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.

545. Final notice 2016: Elizabeth Anne Parry [pdf]

     Final notices Published: 01/09/2016
     This final notice refers to breaches of APER 1 and FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a fine and prohibition.

546. FCA Final Notice 2013: Ali Parvez Shaikh [pdf]

     Final notices Published: 01/10/2013 Last modified: 07/04/2015
     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.

547. Final Notice 2020: Ballooner Limited [pdf]

     Final notices Published: 25/02/2020
     This final notice (Ballooner 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.

548. Final Notice 2015: Aviva Investors Global Services Limited [pdf]

     Final notices Published: 24/02/2015 Last modified: 24/02/2015
     This final notice refers to breaches of PRIN 3, PRIN 8 and COBS related to unfair treatment of customers, conflicts of interest and culture / governance in the Asset management sector. We imposed a fine.

549. Final Notice 2016: Pinks Agri Limited [pdf]

     Final notices Published: 05/12/2016
     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.

550. Final Notice 2018: Polmaise Community Credit Union Limited [pdf]

     Final notices Published: 29/03/2018
     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.