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Showing 1501 to 1510 of 1719 search results for final notice refers to breaches of COND.
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Final Notice 2019: Mark John Owen [pdf]
This final notice (Mark John Owen) refers to breaches by an executive director of APER 1, APER 4 and FIT related to a lack of fitness/propriety and failing to act on information appropriately in the asset management sector. We imposed a fine and -
Final Notice 2020: DP Gas Services Ltd [pdf]
This final notice (DP Gas Services 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. -
Final Notice 2015: Glocal Capital Partners Limited [pdf]
This final notice refers to breaches of Threshold Conditions, PRIN 11 related to failing to be open and co-operative in the Designated Investment Business sector. We imposed a cancellation. -
FCA Final Notice 2014: Collingwood Mourton Associates Limited [pdf]
This final notice refers to breaches of threshold conditions in the investment and home finance sector. We imposed a cancellation. -
FCA Final Notice 2014: The Zim Shop Limited [pdf]
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. -
Final Notice 2017: Dunston Car Centre 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. -
Final Notice 2020: Hall and Hanley Limited (HHL) [pdf]
This Final Notice refers to breaches of the Conduct of Authorised Persons Rules 2014 (“CAPR”) in relation to misleading consumers to claims and unfair treatment of consumers in the claims management sector. We imposed a financial penalty. -
FCA Final Notice 2014: Yorkshire Building Society [pdf]
This final notice refers to breaches of PRIN 6, PRIN 3, MCOB related to unfair treatment of customers, complaints-handling in the mortgages, building society sector. We imposed a fine. -
Final Notice 2020: Cornish Hot Tubs Limited [pdf]
This final notice (Cornish Hot Tubs Limited) 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 2017: G & T Office Equipment [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.