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Showing 741 to 750 of 2139 search results for final notice refers to breaches.
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Final Notice 2016: Paul Brooks Machinery 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 2020: Hall and Hanley Limited (HHL) [pdf]
This Final Notice refers to breaches of the Conduct of Authorised Persons Rules 2014 (“CAPR”) in relation to misleading consumers to claims and unfair treatment of consumers in the claims management sector. We imposed a financial penalty. -
FCA Final Notice 2014: Bluerock Foreign Exchange Limited [pdf]
This final notice refers to breaches of PSR related to failing to be open and co-operative in the payment services sector. We imposed a cancellation. -
Final Notice 2017: Mrs Colette Chiesa [pdf]
This final notice refers to breaches of APER 4 and FIT related to a lack of fitness/propriety and failing to be open and co-operative in the investment adviser sector. We imposed a prohibition, withdrawal and fine. -
Final Notice 2015: Glocal Capital Partners Limited [pdf]
This final notice refers to breaches of Threshold Conditions, PRIN 11 related to failing to be open and co-operative in the Designated Investment Business sector. We imposed a cancellation. -
Final Notice 2017: G & T Office Equipment [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 2015: Merlin Loans and Mortgages Limited [pdf]
This final notice refers to breaches of PRIN 6, PRIN 11, DISP and COND related to threshold conditions, failing to be open and co-operative, and unfair treatment of customers in the consumer credit sector. We imposed a cancellation. -
FCA Final Notice 2014: Yorkshire Building Society [pdf]
This final notice refers to breaches of PRIN 6, PRIN 3, MCOB related to unfair treatment of customers, complaints-handling in the mortgages, building society sector. We imposed a fine. -
Final Notice 2017: Dunston Car Centre 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. -
FCA Final Notice 2013: Aberdeen Asset Managers Limited and Aberdeen Fund Management Limited [pdf]
This final notice refers to breaches of PRIN 3, PRIN 10 and CASS related to client money in the asset management sector. We imposed a financial penalty.