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Showing 941 to 950 of 1209 search results for final notice refers to breaches of COND related.

  1. FCA Final Notice 2014: EPLS Risk Solutions Limited (formerly Glen Insurance Consultants Limited) [pdf]

    Final notices Published: 23/09/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 11 related to threshold conditions in the general insurance intermediary sector. We imposed a cancellation.

  2. Final Notice 2017: Gears of Speed Limited [pdf]

    Final notices Published: 25/09/2017
    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.

  3. Final Notice 2017: I.G. Vehicles Limited [pdf]

    Final notices Published: 06/11/2017
    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.

  4. Final Notice 2019: Vanspares (Llandow) Ltd [pdf]

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

  5. Final Notice 2020: The Coffee Counter Ltd [pdf]

    Final notices Published: 12/02/2020
    This final notice (The Coffee Counter 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.

  6. Final Notice 2015: Arch Financial Products LLP [pdf]

    Final notices Published: 31/03/2015 Last modified: 31/03/2015
    This final notice refers to breaches of PRIN 1, PRIN 3, PRIN 8, SYSC and COB related to conflicts of interests in the investment advisor sector. We imposed a public censure.

  7. Final Notice 2019: Neil Williams-Denton [pdf]

    Final notices Published: 08/08/2019
    This final notice refers to breaches of FIT related to threshold conditions, financial crime and lack of fitness and propriety in the Wealth Management and Investment Adviser sector. We imposed a prohibition.

  8. Final Notice 2017: Notion Capital Managers LLP [pdf]

    Final notices Published: 20/01/2017
    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.

  9. Final Notice 2018: Michael George Hutley [pdf]

    Final notices Published: 14/06/2018
    This final notice refers to breaches of Principle 11 and SUP related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  10. FCA Final Notice 2014: Catalyst Fund Management Limited [pdf]

    Final notices Published: 08/05/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 11 related to threshold conditions in the investment advisor sector. We imposed a cancellation.
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