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Showing 811 to 820 of 1201 search results for This final notice refers to breaches of COND related.
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Final Notice 2019: Terry John Farr [pdf]
This final notice (Terry John Farr) refers to breaches of FIT related to lack of fitness/propriety and wholesale conduct in the trading firm sector. We imposed a prohibition. -
Final Notice 2017: 18 Bikes Limited [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: RMC (Mids) 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 2016: The Heating Design Centre (James Gary Law trading as) [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 2018: Christopher Paul Brotherton [pdf]
This final notice refers to breaches of FIT related to lack of fitness/propriety and unfair treatment of customers in the consumer credit sector. We imposed a prohibition. -
Final notice 2016: Terence Andrew Joint [pdf]
This final notice refers to breaches of APER 6, APER 7, FIT and CASS related to a lack of fitness/propriety and client money/assets misconduct in the general insurance and protection sector. We imposed a fine and prohibition. -
Final Notice 2015: Paul Robertson trading as Tony Robertson Insurance [pdf]
This final notice refers to breaches of PRIN 11 related to threshold conditions and failing to be open and co-operative in the mortgages sector. We imposed a cancellation. -
Final Notice 2017: Sophies Cars Ltd [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: Andrew Charles Rees [pdf]
This final notice refers to breaches of APER 7 related to unfair treatment of customers, conflicts of interest, and lack of fitness/propriety in the investment advisors and platforms sector. We imposed a prohibition, withdrawal, and public censure. -
FCA Final Notice 2013: Mark Bentley-Leek [pdf]
This final notice refers to breaches of APER 1 and 7 related to mis-selling, lack of fitness and propriety, and conflicts of interest in the investment advisors and platforms sector. We imposed a prohibition, withdrawal and a fine .