Search results
Showing 1211 to 1220 of 1719 search results for final notice refers to breaches of COND.
-
Final Notice 2015: Noraminvest UK Limited [pdf]
This final notice refers to breaches of principle 11 and TC related to threshold conditions and failing to be open and co-operative in the investment advisor sector. We imposed a cancellation. -
Final notice 2016: RM Trade Sales 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 2014: Anthony Clare [pdf]
This final notice refers to breaches of APER 6 and 7 related to unfair treatment of customers, mis-selling, remuneration, and culture/governance in the general insurance and protection sector. We imposed a public fine. -
Final Notice 2018: Darren Lee Newton [pdf]
This final notice (Darren Lee Newton) refers to breaches of FIT related to client money/assets and lack of fitness/propriety in the consumer credit sector. We imposed a prohibition. -
Final Notice 2015: CVS Technologies Limited [pdf]
This final notice refers to breaches of PSR related to Payment Services Regulations, failing to be open and co-operative in the payment services sector. We imposed a cancellation. -
Final Notice 2020: HMS Cars Ltd [pdf]
This final notice (HMS Cars Ltd) 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: UK4REX Limited [pdf]
This final notice (UK4REX Limited) refers to breaches of payment services regulations (PSR) related to failing to be open and co-operative in the payment services sector. For the interest and protection of Consumers, we imposed a cancellation. -
Final Notice 2018: Guillaume Adolph [pdf]
This final notice refers to breaches of PRIN 5 and FIT related to benchmarks, lack of fitness/propriety and wholesale conduct in the investment bank sector. We imposed a fine and a prohibition. -
Final Notice 2018: Marcel Rochester [pdf]
This final notice (Marcel Rochester) refers to breaches of Principle 11 and SUP related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation. -
Final Notice 2023: Mark Antony Abley [pdf]
This Final Notice refers to breaches of APER 2 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We imposed a financial penalty and a partial prohibition.