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Showing 881 to 890 of 1209 search results for final notice refers to breaches of COND related.
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FCA Final Notice 2014: Timothy Adrian Hughes [pdf]
This final notice refers to breaches of APER 7 related to unfair treatment of customers, conflicts of interest, and lack of fitness/propriety in the investment advisors and platforms sector. We imposed a prohibition, withdrawal, and public censure. -
Final Notice 2018: Verwood Motors Ltd [pdf]
This final notice (Verwood Motors 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. -
FCA Final Notice 2013: Gurpreet Singh Chadda [pdf]
This final notice refers to breaches of PRIN 1 related to lack of fitness/propriety, failing to be open and co-operative and unfair treatment of customers in the sale and rent back sector. We imposed a fine and prohibition. -
Final Notice 2016: NIA Trading 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 2019: Arab Link Ltd [pdf]
This final notice (Arab Link Ltd) refers to breaches of payment services regulations (PSR) related to failing to be open and co-operative in the payment services sector. For the interest and protection of Consumers, we imposed a cancellation. -
Final Notice 2018: Acetem UK Ltd [pdf]
This final notice (Acetem UK Ltd) refers to breaches of payment services regulations (PSR) related to failing to be open and co-operative in the payment services sector. For the interest and protection of Consumers, we imposed a cancellation. -
Final Notice 2021: Sunrise Brokers LLP [pdf]
This Final Notice (Sunrise Brokers LLP) refers to breaches of PRIN 2 and PRIN 3 related to the risk of financial crime in the trading firms sector. We imposed a financial penalty -
Final Notice 2017: Michael Trevor Lewis [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 2017: Richard Telfryn Jones [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety in the General Insurance and Protection sector. We imposed a prohibition. -
Final Notice 2022: Henderson Carter Associates Limited [pdf]
This Final Notice (Henderson Carter Associates Limited) refers to breaches of PRIN 1 and Section 20 FSMA related to mis-selling and failing to be open and co-operative in the investment adviser and pensions sector. We imposed a public censure.