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Showing 851 to 860 of 1209 search results for final notice refers to breaches of COND related.
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FCA Final Notice 2014: Arnold Gary Eber [pdf]
This final notice refers to breaches of FIT related to failing to be open and co-operative, and lack of fitness/propriety in the investment advisers and platforms sector. We imposed a public censure and a prohibition. -
FCA Final Notice 2014: Peter Halpin [pdf]
This final notice refers to breaches of APER 7 related to unfair treatment of customers, mis-selling, remuneration, and culture/governance in the general insurance and protection sector. We imposed a fine and a prohibition -
FCA Final Notice 2013: AXA Wealth Services Ltd (“AXA”) [pdf]
This final notice refers to breaches of PRIN 9 and COBS related to mis-selling in the investment advisers and platforms sector. We imposed a fine. -
Final Notice 2017: Roman's Tyres and Exhausts 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 2020: Forward Leasing 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: The Dental Plan Ltd [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit and general insurance and protection sectors. We imposed a cancellation. -
Final Notice 2015: Clydesdale Bank Plc [pdf]
This final notice refers to breaches of PRIN 6 and DISP related to unfair treatment of customers and complaints handling in the retail banks sector. We imposed a fine. -
Final Notice: Mark Samuel Motors 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 2016: Broom Boat Sales 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: Intignis Media Ltd [pdf]
This final notice (Intignis Media Ltd) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.