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Showing 1411 to 1420 of 1719 search results for final notice refers to breaches of COND.

  1. Final notice 2016: Analyst Investment Management Plc [pdf]

    Final notices Published: 09/08/2016 Last modified: 09/08/2016
    This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the investment adviser sector. We imposed a cancellation.

  2. Final Notice 2015: Arch Financial Products LLP [pdf]

    Final notices Published: 31/03/2015 Last modified: 31/03/2015
    This final notice refers to breaches of PRIN 1, PRIN 3, PRIN 8, SYSC and COB related to conflicts of interests in the investment advisor sector. We imposed a public censure.

  3. FCA Final Notice 2014: EPLS Risk Solutions Limited (formerly Glen Insurance Consultants Limited) [pdf]

    Final notices Published: 23/09/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 11 related to threshold conditions in the general insurance intermediary sector. We imposed a cancellation.

  4. Final Notice 2019: Savatori Oliverio [pdf]

    Final notices Published: 28/08/2019
    This final notice refers to breaches of FIT related to a lack of fitness/propriety in the private business adviser sector. We imposed a prohibition.

  5. Final Notice 2020: The Coffee Counter Ltd [pdf]

    Final notices Published: 12/02/2020
    This final notice (The Coffee Counter Ltd) 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 2017: Andrews Television Ltd [pdf]

    Final notices Published: 21/08/2017
    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.

  7. Final Notice 2020: Acacia Trading Ltd [pdf]

    Final notices Published: 21/05/2020
    This final notice (Acacia Trading Ltd) 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 2020: Grange Finance Limited [pdf]

    Final notices Published: 21/05/2020
    This final notice (Grange Finance Limited) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

  9. FCA Final Notice 2013: Christopher John Riches [pdf]

    Final notices Published: 05/06/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 1 and PRIN 11 related to lack of fitness/propriety, failing to be open and co-operative and threshold conditions in the mortgages and consumer credit sector. We imposed a fine, withdrawal and a prohibition

  10. Final Notice 2017: New Peterborough Auto Limited [pdf]

    Final notices Published: 12/04/2017
    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.
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