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Showing 1261 to 1270 of 1719 search results for final notice refers to breaches of COND.

  1. Final Notice 2015: Andrew Peter Wilkins [pdf]

    Final notices Published: 27/10/2015 Last modified: 27/10/2015
    This Final Notice refers to breaches of APER 6 related to unfair treatment of customers in the Investment Advisor sector. We imposed a fine.

  2. Final Notice 2017: Autocity (Scotland) Limited [pdf]

    Final notices Published: 28/02/2017
    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.

  3. FCA Final Notice 2013: Andrew Joseph Powell [pdf]

    Final notices Published: 17/12/2013 Last modified: 07/04/2015
    This final notice refers to breaches of FIT related to lack of fitness/propriety in the wealth management and private banking, investment advisers and platforms sector. We imposed a prohibition.

  4. Final Notice: Samlet Car Sales Ltd [pdf]

    Final notices Published: 14/10/2016
    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.

  5. Final Notice 2017: Auto Safari Car Sales [pdf]

    Final notices Published: 09/06/2017
    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 2019: JGS Motors Ltd [pdf]

    Final notices Published: 28/10/2019
    This final notice (JGS Motors Ltd) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

  7. FCA Final Notice 2013: Martin Richard Moseling trading as Blenheim Financial Services [pdf]

    Final notices Published: 15/07/2013 Last modified: 07/04/2015
    This Final Notice refers to breaches of PRIN 6 related to threshold conditions in the investment advisors & platforms sector. We imposed a cancellation.

  8. FCA Final Notice 2014: Credit Suisse International [pdf]

    Final notices Published: 16/06/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 7 and COBS related to financial promotions, mis-selling, remuneration in the investment banks sector. We imposed a fine.

  9. Final Notice 2017: Youcar.com Ltd [pdf]

    Final notices Published: 24/10/2017
    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.

  10. Final Notice 2017: Home Systems AV LLP [pdf]

    Final notices Published: 31/03/2017
    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.
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