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Showing 371 to 380 of 2139 search results for final notice refers to breaches.

371. Final Notice 2015: Paul Christopher Ridden [pdf]

     Final notices Published: 18/02/2015 Last modified: 18/02/2015
     This final notice refers to breaches of FIT, related to threshold conditions in the consumer credit sector. We imposed a cancellation.

372. Final notice 2018: VIP Wealth Ltd [pdf]

     Final notices Published: 06/03/2018
     This final notice refers to breaches of COND related to Threshold conditions in the wholesale sector. We imposed a refusal.

373. Final Notice 2015: Robin Farrell [pdf]

     Final notices Published: 31/03/2015 Last modified: 31/03/2015
     This final notice refers to breaches of APER 1 and APER 7 related to conflicts of interests and lack of fitness/propriety in the investment advisor sector. We imposed a fine, withdrawal and prohibition.

374. Final Notice 2016: KMLM Ltd [pdf]

     Final notices Published: 22/11/2016
     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.

375. 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.

376. Final Notice 2015: A A A Insurance Limited [pdf]

     Final notices Published: 12/10/2015 Last modified: 12/10/2015
     This final notice refers to breaches of PRIN 11 related to Threshold Conditions and failing to be open and co-operative in the general insurance and protection. We imposed a cancellation.

377. Final Notice 2016: Scott Michael Crawley [pdf]

     Final notices Published: 01/11/2016
     This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

378. Final Notice 2022: Luke Andrew Durrant [pdf]

     Final notices Published: 22/09/2022
     The Final Notice refers to breaches of FIT related to lack of fitness and proprietary in the General Insurance and Pensions sector. We imposed a prohibition.

379. FCA Final Notice 2014: Managed Debt Services Ltd [pdf]

     Final notices Published: 26/07/2014 Last modified: 07/04/2015
     This final notice refers to breaches of TC and CONC related to threshold conditions in the consumer credit sector. We imposed a refusal.

380. Final Notice 2017: Guy Pascoe [pdf]

     Final notices Published: 04/09/2017
     This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the general insurance and protection and consumer credit sector. We imposed a cancellation.