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Showing 1321 to 1330 of 1719 search results for final notice refers to breaches of COND.

  1. Final notice 2016: Timothy Alan Roberts [pdf]

    Final notices Published: 08/04/2016 Last modified: 11/04/2016
    This final notice refers to breaches of APER 1 and APER 6 related to the unfair treatment of customers in the investment adviser sector. We imposed a fine and prohibition.

  2. Final Notice 2021: Matthew Andrew Creed [pdf]

    Final notices Published: 14/07/2021
    This Final Notice (Matthew Andrew Creed) refers to breaches of FIT by a financial adviser. We imposed a prohibition

  3. Final Notice 2019: Terry John Farr [pdf]

    Final notices Published: 29/05/2019
    This final notice (Terry John Farr) refers to breaches of FIT related to lack of fitness/propriety and wholesale conduct in the trading firm sector. We imposed a prohibition.

  4. Final Notice 2018: Econt UK Ltd [pdf]

    Final notices Published: 14/12/2018
    This final notice (Econt UK Ltd) 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.

  5. FCA Final Notice 2013: AXA Wealth Services Ltd (“AXA”) [pdf]

    Final notices Published: 13/09/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 9 and COBS related to mis-selling in the investment advisers and platforms sector. We imposed a fine.

  6. Final Notice 2017: NRG Installer Ltd [pdf]

    Final notices Published: 06/11/2017
    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.

  7. Final Notice 2017: Hugo Henry Adkins [pdf]

    Final notices Published: 24/05/2017
    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.

  8. Final Notice 2020: Mo Davey Sales (Malcolm Davey trading as) [pdf]

    Final notices Published: 24/02/2020
    This final notice (Mo Davey Sales (Malcolm Davey trading as)) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  9. FCA Final Notice 2014: Forex Trading (UK) Limited [pdf]

    Final notices Published: 17/03/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PSR related to failing to be open and co-operative in the payment systems sector. We imposed a cancellation.

  10. FCA Final Notice 2014: Mega Advice Services Ltd [pdf]

    Final notices Published: 11/07/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PSR related to failing to be open and co-operative in the payment systems sector. We imposed a cancellation.
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