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Showing 1541 to 1550 of 1719 search results for final notice refers to breaches of COND.
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Final notice 2016: Towergate Underwriting Group Limited [pdf]
This final notice refers to breaches of PRIN 3, PRIN 10 and CASS related to client money/assets in the general insurance and protection sector. We imposed a fine. -
Final Notice 2017: SFS Home Assist 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: Gosforth Car Centre Ltd [pdf]
This final notice (Gosforth Car Centre 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 2019: Audi Technik Centre Ltd [pdf]
This final notice (Audi Technik Centre Ltd) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation. -
FCA Final Notice 2013: Catalyst Investment Group Limited [pdf]
This final notice refers to breaches of PRIN 1 and PRIN 6 related to financial promotions and unfair treatment of customers in the investment advisers and platforms sector. We imposed a public censure. -
Final Notice 2017: KWS Wealth Management Limited [pdf]
This final notice refers to breaches of the suitability Threshold Condition in the Investment Adviser sector. We imposed a cancellation. -
Final Notice 2024: James William Edward Lewis [pdf]
This Final Notice refers to a failure to act with due care, skill and integrity. We imposed a financial penalty and a prohibition order. -
Final Notice 2017: Mr John Chiesa [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition and withdrawal. -
Final Notice 2019: Samrat Deep Bhandari [pdf]
This final notice (Samrat Deep Bhandari) refers to breaches of FIT, which relates to honesty, integrity and reputation. We imposed a prohibition order. -
Final Notice 2017: Lux Automotive 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.