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Showing 791 to 800 of 1209 search results for final notice refers to breaches of COND related.

791. Final notice 2016: Timothy Duncan Philip [pdf]

     Final notices Published: 13/07/2016 Last modified: 13/07/2016
     This final notice refers to breaches of APER 6 and FIT related to a lack of fitness and propriety and client money/assets in the general insurance and protection sector. We imposed a fine and prohibition.

792. FCA Final Notice 2013: Martin Richard Moseling trading as Blenheim Financial Services [pdf]

     Final notices Published: 15/07/2013 Last modified: 07/04/2015
     This Final Notice refers to breaches of PRIN 6 related to threshold conditions in the investment advisors & platforms sector. We imposed a cancellation.

793. FCA Final Notice 2014: Credit Suisse International [pdf]

     Final notices Published: 16/06/2014 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 7 and COBS related to financial promotions, mis-selling, remuneration in the investment banks sector. We imposed a fine.

794. Final Notice 2020: Motor Hut Ltd [pdf]

     Final notices Published: 08/06/2020
     This final notice (Motor Hut Ldt) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

795. FCA Final Notice 2013: Sovereign Financial Solutions Limited [pdf]

     Final notices Published: 04/06/2013 Last modified: 07/04/2015
     This Final Notice refers to breaches of PRIN 11 related to threshold conditions in the general insurance and protection sector. We imposed a cancellation.

796. Final Notice 2017: Youcar.com Ltd [pdf]

     Final notices Published: 24/10/2017
     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.

797. FCA Final Notice 2014: Daniel James Plunkett [pdf]

     Final notices Published: 23/05/2014 Last modified: 07/04/2015
     This final notice refers to breaches of FIT, APER 1 and APER 3 related to lack of fitness and propriety, conflicts of interest in the investment banks sector. We imposed a prohibition and a fine.

798. Final Notice 2017: Alistair Charles Proctor [pdf]

     Final notices Published: 08/11/2017
     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.

799. Final Notice 2017: Home Systems AV LLP [pdf]

     Final notices Published: 31/03/2017
     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.

800. Final Notice 2019: JGS Motors Ltd [pdf]

     Final notices Published: 28/10/2019
     This final notice (JGS Motors Ltd) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.