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Showing 741 to 750 of 1201 search results for This final notice refers to breaches of COND related.

  1. Final Notice 2020: Gary John Gregson [pdf]

    Final notices Published: 15/04/2020
    This Final Notice (Gary John Gregson) refers to breaches of FIT related to the Threshold Conditions in the Consumer Credit. We imposed a prohibition.

  2. FCA Final Notice 2013: Castlehill Wealth Management Limited [pdf]

    Final notices Published: 16/04/2013 Last modified: 07/04/2015
    This Final Notice refers to breaches of PRIN 11 related to threshold conditions in the investment advisors & platforms sector. We imposed a cancellation.

  3. FCA Final Notice 2013: Swinton Group Limited [pdf]

    Final notices Published: 16/07/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 3, PRIN 6 and PRIN 7 related to unfair treatment of customers in the general insurance and protection sector. We imposed a fine.

  4. Final Notice 2018: Terence Sefton Potter [pdf]

    Final notices Published: 29/05/2018
    This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment sector. We imposed a prohibition.

  5. FCA Final Notice 2013: Nonwoven Solutions Limited [pdf]

    Final notices Published: 04/11/2013 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.

  6. Final Notice 2015: Sam Thomas Kenny [pdf]

    Final notices Published: 13/03/2015 Last modified: 13/03/2015
    This final notice refers to breaches of APER 1 and APER 7 related to unfair treatment of customers, mis-selling, lack of fitness/propriety in the investment adviser sector. We imposed a fine and a prohibition.

  7. FCA Final Notice 2014: Supercroft Trading Limited [pdf]

    Final notices Published: 11/08/2014 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 services sector. We imposed a cancellation.

  8. Final Notice 2016: Justin Pollington-Woods [pdf]

    Final notices Published: 26/10/2016
    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.

  9. Final Notice 2024: Citigroup Global Markets Limited [pdf]

    Final notices Published: 22/05/2024
    This Final Notice refers to breaches of PRIN 2 and 3, and MAR 7A 3.2 related to wholesale conduct in the investment bank sector. We imposed a fine.

  10. Final Notice 2019: E & N Ritchie [pdf]

    Final notices Published: 16/10/2019
    This final notice (E & N Ritchie) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.