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Showing 1511 to 1520 of 1719 search results for final notice refers to breaches of COND.
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FCA Final Notice 2013: Aberdeen Asset Managers Limited and Aberdeen Fund Management Limited [pdf]
This final notice refers to breaches of PRIN 3, PRIN 10 and CASS related to client money in the asset management sector. We imposed a financial penalty. -
Final Notice 2017: Mrs Colette Chiesa [pdf]
This final notice refers to breaches of APER 4 and FIT related to a lack of fitness/propriety and failing to be open and co-operative in the investment adviser sector. We imposed a prohibition, withdrawal and fine. -
Final Notice 2017: Clive John Rosier [pdf]
This final notice (Clive Rosier) refers to breaches of APER 2 and APER 7 for complaints-handling, failure to demonstrate that suitable advice was given and lack of fitness/propriety in the investment adviser sector. We imposed a fine, withdrawal and -
Final notice 2020: Fab Cars Norwich Ltd [pdf]
This final notice (Fab Cars Norwich Ltd) 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 2024: Link Fund Solutions Limited [pdf]
This Final Notice refers to a failure by Link Fund Solutions Limited to act with due skill, care and diligence in carrying out its role as Authorised Corporate Director of the Woodford Equity Income Fund. We imposed a requirement to pay restitution -
Final Notice 2019: Goldman Sachs International [pdf]
This final notice (Goldman Sachs International) refers to breaches of SUP 17, SUP 15 and PRIN 3 related to transaction reporting failures in the investment bank sector. We imposed a fine. -
Final Notice 2019: WGV Holdings Ltd [pdf]
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. -
Final Notice 2018: Solomon Car Sales Ltd [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 2018: Darren Colvin Cummings [pdf]
This FCA final notice (Darren Colvin Cummings) refers to breaches of APER 1 and FIT relating to a lack of fitness and/propriety in the general insurance and mediation sector. We imposed a fine and prohibition. -
Final Notice 2020: Clacton Car Sales Ltd [pdf]
This final notice (Clacton Car Sales Ltd) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.