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Showing 601 to 610 of 2139 search results for final notice refers to breaches.

  1. Final Notice 2020: S M Motorhouse Ltd [pdf]

    Final notices Published: 28/10/2020 Last modified: 28/10/2020
    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.

  2. FCA Final Notice 2013: Rak Telecommunications Limited [pdf]

    Final notices Published: 03/12/2013 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.

  3. Final notice 2016: Timothy Alan Roberts [pdf]

    Final notices Published: 08/04/2016 Last modified: 11/04/2016
    This final notice refers to breaches of APER 1 and APER 6 related to the unfair treatment of customers in the investment adviser sector. We imposed a fine and prohibition.

  4. Final Notice 2017: NRG Installer Ltd [pdf]

    Final notices Published: 06/11/2017
    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.

  5. FCA Final Notice 2013: AXA Wealth Services Ltd (“AXA”) [pdf]

    Final notices Published: 13/09/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 9 and COBS related to mis-selling in the investment advisers and platforms sector. We imposed a fine.

  6. Final Notice 2017: Hugo Henry Adkins [pdf]

    Final notices Published: 24/05/2017
    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.

  7. Final Notice 2017: Church Hill Finance (Anthony Badaloo trading as) [pdf]

    Final notices Published: 09/11/2017
    This Final Notice refers to breaches of COND related to threshold conditions in the investment adviser sector. We imposed a cancellation.

  8. FCA Final Notice 2014: Forex Trading (UK) Limited [pdf]

    Final notices Published: 17/03/2014 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 systems sector. We imposed a cancellation.

  9. FCA Final Notice 2014: Mega Advice Services Ltd [pdf]

    Final notices Published: 11/07/2014 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 systems sector. We imposed a cancellation.

  10. Final Notice 2015: Clydesdale Bank Plc [pdf]

    Final notices Published: 14/04/2015 Last modified: 14/04/2015
    This final notice refers to breaches of PRIN 6 and DISP related to unfair treatment of customers and complaints handling in the retail banks sector. We imposed a fine.
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