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Showing 671 to 680 of 1201 search results for This final notice refers to breaches of COND related.
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Final Notice 2019: William Nelson [pdf]
This final notice (William Nelson) 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: Yorkshire Building Society [pdf]
This final notice refers to breaches of PRIN 7 related to financial promotions in the building society sector. We imposed a fine. -
FCA Final Notice 2013: Swift Masters 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 2017: Southwater Cars [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. -
Final Notice 2024: Nicholas Andrew McNeil [pdf]
This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition. -
Final notice 2016: CT Capital Limited [pdf]
This final notice refers to breaches of PRIN 3 and PRIN 6 related to complaints-handling and the unfair treatment of customers in the general insurance and protection sector. We imposed a fine. -
Final Notice 2015: Paul Reynolds [pdf]
This final notice refers to breaches of APER 1 and FIT related to mis-selling and failing to be open and co-operative in the investment advisor sector. We imposed a fine and a prohibition. -
Final Notice 2017: Hessam Ebrahimi [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 2014: Imperial Escrow Limited (In Provisional Liquidation) [pdf]
This final notice refers to breaches of PSR related to payment services regulations in the payment services sector. We imposed a cancellation. -
Final Notice 2015: Benbron Solutions Limited [pdf]
This final notice refers to breaches of PSR related to Payment Services Regulations and failing to be open and co-operative in the payment services sector. We imposed a cancellation.