Search results
Showing 1021 to 1030 of 1719 search results for final notice refers to breaches of COND.
-
Final Notice 2018: John McCullagh [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety in the consumer credit sector. We imposed a prohibition. -
Final Notice 2016: Pinks Agri 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 2022: Pembrokeshire Mortgage Centre Limited (trading as County Financial Consultants) (in liquidation) [pdf]
This Final Notice (Pembrokeshire Mortgage Centre Limited (trading as County Financial Consultants)) refers to breaches of Principles 3, 7 and 9 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We -
Final Notice 2020: John Norton [pdf]
This final notice (John Norton) 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 2018: Barot Bros (Bhupatsinh Barot trading as) [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: Xcap Securities PLC [pdf]
This final notice refers to breaches of PRIN 3, PRIN 10 related to client money/assets in the trading firms sector. We imposed a fine. -
Final Notice 2018: Ludu Energy 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 2017: Damian Frank Clarke [pdf]
This final notice refers to a breach of FIT relating to a lack of fitness/propriety in the asset management sector. We imposed a prohibition. -
Final notice 2016: Rivington Bikes Limited [pdf]
This final notice refers to breaches of PRIN 11, failing to be open and co-operative in the consumer credit sector. We imposed a cancellation. -
Final notice 2016: EVS Trading 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.