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Showing 591 to 600 of 1097 search results for final notice refers to breaches of APER 6 related.

  1. FCA Final Notice 2014: Santander UK plc [pdf]

    Final notices Published: 26/03/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 7, PRIN 9 and COBS related to unfair treatment of customers in the wealth management and private banking, investment advisers and platforms sector. We imposed a fine.

  2. FCA Final Notice 2014: Best Value 4 U Limited [pdf]

    Final notices Published: 19/05/2014 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.

  3. Final Notice 2017: David Stephen Hancock [pdf]

    Final notices Published: 29/03/2017
    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.

  4. FCA Final Notice 2014: Lloyds Bank plc and Bank of Scotland plc [pdf]

    Final notices Published: 28/07/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 3 and PRIN 5 related to wholesale conduct, benchmarks, and conflicts of interest in the retail banks sector. We imposed a fine.

  5. Final Notice 2017: Richard Greenwood [pdf]

    Final notices Published: 11/10/2017
    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.

  6. Final Notice 2017: Motor Palace Ltd [pdf]

    Final notices Published: 03/11/2017
    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.

  7. Final Notice 2020: Lychworth Limited [pdf]

    Final notices Published: 25/02/2020
    This final notice (Lychworth Limited) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation

  8. FCA Final Notice 2014: GS Cars (UK) Limited [pdf]

    Final notices Published: 28/08/2014 Last modified: 07/04/2015
    This final notice refers to breaches of COND related to lack of fitness/propriety in the consumer credit sector. We imposed a refusal.

  9. FCA Final Notice 2014: Pritchard Stockbrokers Limited (In Special Administration) [pdf]

    Final notices Published: 09/10/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 1, PRIN 2, PRIN 10 related to client money/assets in the asset management sector. We imposed a public censure.

  10. Final Notice 2017: Amjad Motors Limited [pdf]

    Final notices Published: 13/03/2017
    This final notice refers to breaches of COND and Principle 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.
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