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Showing 851 to 860 of 1201 search results for This final notice refers to breaches of COND related.
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Final notice 2016: Bar Professions Limited (in liquidation) [pdf]
This final notice refers to breaches of PRIN 2, PRIN 7 and ICOBS related to appointed representatives and failing to act on information appropriately in the general insurance and protection sector. We imposed a public censure. -
FCA Final Notice 2014: Peter Halpin [pdf]
This final notice refers to breaches of APER 7 related to unfair treatment of customers, mis-selling, remuneration, and culture/governance in the general insurance and protection sector. We imposed a fine and a prohibition -
Final Notice 2017: All Motors Cardiff [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: Hallbrooke Ballymena 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 2017: John Charles Berry [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 2020: Intignis Media Ltd [pdf]
This final notice (Intignis Media Ltd) 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 2019: Swell Vans Limited [pdf]
This final notice (Swell Vans Limited) 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 2013: JPMorgan Chase Bank, N.A. [pdf]
This final notice refers to breaches of PRIN 2, PRIN 3, PRIN 5, and PRIN 11 related to wholesale conduct, market protection, and failing to be open and co-operative in the investment banks sector. We imposed a fine. -
FCA Final Notice 2014: Arnold Gary Eber [pdf]
This final notice refers to breaches of FIT related to failing to be open and co-operative, and lack of fitness/propriety in the investment advisers and platforms sector. We imposed a public censure and a prohibition. -
Final Notice 2019: LMA Motors Limited [pdf]
This final notice (LMA Motors Limited) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.