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Showing 561 to 570 of 2139 search results for final notice refers to breaches.

561. FCA Final Notice 2013: JPMorgan Chase Bank, N.A. [pdf]

     Final notices Published: 19/09/2013 Last modified: 07/04/2015
     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.

562. Final Notice 2016: The Heating Design Centre (James Gary Law trading as) [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.

563. Final notice 2016: Danmirr Capital Limited [pdf]

     Final notices Published: 20/09/2016
     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 refusal of the firm's application to carry on the regulated activities of credit broking, deb adjusting and

564. Final Notice 2017: Charles Palmer [pdf]

     Final notices Published: 19/09/2017
     This final notice refers to breaches of APER 6 and FIT related to appointed representatives/ networks, culture/governance, lack of fitness/propriety and unfair treatment of customers in the Investment Adviser sector. We imposed a fine and prohibition

565. FCA Final Notice 2013: Martin Richard Moseling trading as Blenheim Financial Services [pdf]

     Final notices Published: 15/07/2013 Last modified: 07/04/2015
     This Final Notice refers to breaches of PRIN 6 related to threshold conditions in the investment advisors & platforms sector. We imposed a cancellation.

566. FCA Final Notice 2014: Credit Suisse International [pdf]

     Final notices Published: 16/06/2014 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 7 and COBS related to financial promotions, mis-selling, remuneration in the investment banks sector. We imposed a fine.

567. Final Notice: Samlet Car Sales Ltd [pdf]

     Final notices Published: 14/10/2016
     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.

568. Final Notice 2015: Stephen Edward Bell [pdf]

     Final notices Published: 13/03/2015 Last modified: 31/03/2015
     This final notice refers to breaches of PRIN 3 (knowing concern) and FIT related to the lack of fitness/propriety, culture/governance and appointed representatives in the general insurance and protection, investment adviser and platform sector. We

569. Final Notice 2015: Paul Robertson trading as Tony Robertson Insurance [pdf]

     Final notices Published: 13/07/2015 Last modified: 13/07/2015
     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.

570. Final Notice 2015: Oracle Financial Planning [pdf]

     Final notices Published: 02/07/2015 Last modified: 02/07/2015
     This final notice refers to breaches of Threshold Conditions and PRIN 11 related to failing to be open and co-operative in the general insurance intermediary sector. We imposed a cancellation.