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Showing 961 to 970 of 1097 search results for final notice refers to breaches of APER 6 related.
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Final Notice 2020: LJ Financial Planning Ltd [pdf]
This Final Notice refers to breaches of PRIN 8 and PRIN 9 related to conflicts of interest and failure to provide suitable advice in the Pensions sector. The FCA imposed a financial penalty. -
Final Notice 2017: Vehicle Lease Solutions Limited [pdf]
This final notice refers to breaches of PRIN 11 and COND related to failing to be open and co-operative in the consumer credit sector. We imposed a refusal. -
Final Notice 2015: Execution Noble & Company Limited [pdf]
This final notice refers to breaches of the Listing Rules related to failing to be open and co-operative in the sponsor sector. We imposed a fine. -
Final Notice 2021: Alsford Page & Gems Limited [pdf]
This Final Notice refers to breaches of PRIN 3 and PRIN 6 related to Appointed representative sales of extended warranty insurance products in the General Insurance and Protection sector. We imposed a public censure. -
Final Notice 2020: Premier Motor Group Limited [pdf]
This final notice (Premier Motor Group Limited) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation. -
Final notice 2016: Cross Keys Estate & Finance Limited [pdf]
This final notice refers to breaches of COND and TC related to Threshold Conditions and lack of fitness and propriety in the Consumer Credit sector. We imposed a refusal. -
Final Notice 2017: GZ Energy Solutions Limited [pdf]
This final notice refers to breaches of PRIN 11 and COND related to failing to be open and co-operative in the consumer credit sector. We imposed a refusal. -
Final Notice 2020: Sean Morrison (trading as GL51 Cars) [pdf]
This final notice Sean Morrison (trading as GL51 Cars) 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: Summit Vehicle Solutions Ltd [pdf]
This final notice Summit Vehicle Solutions Ltd 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 2017: Collins Ward Capital Management Ltd [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the wealth management and private banking sector. We imposed a cancellation.