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Showing 1251 to 1260 of 1719 search results for final notice refers to breaches of COND.

  1. Final Notice 2018: R J Funston Insurance Services (Heather Tania Funston trading as) [pdf]

    Final notices Published: 03/07/2018
    This final notice refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the General Insurance and Protection sector and investment advisory sector. We imposed a

  2. FCA Final Notice 2014: Andrew Charles Rees [pdf]

    Final notices Published: 17/04/2014 Last modified: 07/04/2015
    This final notice refers to breaches of APER 7 related to unfair treatment of customers, conflicts of interest, and lack of fitness/propriety in the investment advisors and platforms sector. We imposed a prohibition, withdrawal, and public censure.

  3. Final notice 2016: Terence Andrew Joint [pdf]

    Final notices Published: 09/05/2016 Last modified: 09/05/2016
    This final notice refers to breaches of APER 6, APER 7, FIT and CASS related to a lack of fitness/propriety and client money/assets misconduct in the general insurance and protection sector. We imposed a fine and prohibition.

  4. Final Notice 2015: Ralph Whittington [pdf]

    Final notices Published: 10/09/2015 Last modified: 10/09/2015
    This final notice refers to breaches of APER 1 and FIT related to lack of fitness/propriety, client money/assets and insurance fraud in the general insurance and protection sector. We imposed a fine, prohibition, and withdrawal.

  5. Final Notice 2020: Perfectalign Limited [pdf]

    Final notices Published: 08/06/2020
    This final notice (Perfectalign Limited) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

  6. Final notice 2016: Yswiriant Celtic Insurance [pdf]

    Final notices Published: 08/03/2016 Last modified: 08/03/2016
    This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the general insurance and protection sector. We imposed a cancellation.

  7. Final Notice 2017: Yo Yo Vending Limited [pdf]

    Final notices Published: 04/07/2017
    This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

  8. Final Notice 2017: David Stanley Mather [pdf]

    Final notices Published: 03/02/2017
    This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the investment adviser, mortgages and general insurance and protection sector. We imposed a cancellation.

  9. Final Notice 2019: Kevin Gorman [pdf]

    Final notices Published: 20/12/2019
    This Final Notice refers to breaches of Article 19(1) of MAR related to failing to notify trading in shares to their issuer and the FCA as a PDMR in the issuer sector. We imposed a financial penalty.

  10. Final Notice 2020: Motor Hut Ltd [pdf]

    Final notices Published: 08/06/2020
    This final notice (Motor Hut Ldt) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.
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