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Showing 1011 to 1020 of 1209 search results for final notice refers to breaches of COND related.

  1. Further Final Notice 2020: Lloyd Arnold Pope [pdf]

    Final notices Published: 23/03/2020
    This Final Notice (Lloyd Arnold Pope) refers to breaches of APER 7 and FIT related to mis-selling, lack of fitness/propriety and conflicts of interest in the Investment Adviser and Pensions sector. We imposed a financial penalty, a prohibition and

  2. FCA Final Notice 2014: The Zim Shop Limited [pdf]

    Final notices Published: 09/04/2014 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.

  3. Final Notice 2020: DP Gas Services Ltd [pdf]

    Final notices Published: 25/02/2020
    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.

  4. Final notice 2016: Colin J McIntosh [pdf]

    Final notices Published: 01/02/2016 Last modified: 01/02/2016
    This final notice refers to breaches of APER 1, APER 4, APER 7, FIT and CASS related to appointed representatives, client money, failing to act on information appropriately, failing to be open and co-operative, lack of fitness/propriety and unfair

  5. Final Notice 2015: The Motorhome Hire Network Limited [pdf]

    Final notices Published: 13/07/2015 Last modified: 13/07/2015
    This final notice refers to breaches of PRIN 11 related to threshold conditions and failing to be open and co-operative in the general insurance and protection sector. We imposed a cancellation.

  6. Final Notice 2017: G & T Office Equipment [pdf]

    Final notices Published: 17/05/2017
    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.

  7. Final Notice 2019: WGV Holdings Ltd [pdf]

    Final notices Published: 29/07/2019
    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.

  8. Final Notice 2015: Glocal Capital Partners Limited [pdf]

    Final notices Published: 19/03/2015 Last modified: 19/03/2015
    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.

  9. Final Notice 2020: Cornish Hot Tubs Limited [pdf]

    Final notices Published: 21/05/2020
    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.

  10. FCA Final Notice 2014: Yorkshire Building Society [pdf]

    Final notices Published: 28/10/2014 Last modified: 07/04/2015
    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.
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