Search results
Showing 711 to 720 of 1133 search results for final notice refers to breaches of FIT related.
-
Final Notice 2020: Ryan Fawson (Kingfisher Finance trading as) [pdf]
This final notice (Ryan Fawson (Kingfisher Finance trading as)) 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 2017: Alistair Charles Proctor [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. -
FCA Final Notice 2013: Mark Bentley-Leek [pdf]
This final notice refers to breaches of APER 1 and 7 related to mis-selling, lack of fitness and propriety, and conflicts of interest in the investment advisors and platforms sector. We imposed a prohibition, withdrawal and a fine . -
Final Notice 2017: 21st Telecoms 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 2017: Emrose Dean Ltd [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: The Heating Design Centre (James Gary Law trading as) [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. -
FCA Final Notice 2014: Andrew Charles Rees [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. -
FCA Final Notice 2013: Nicholas Welsh & Co Limited [pdf]
This Final Notice refers to breaches of TC related to threshold conditions in the investment advisors & platforms sector. We imposed a cancellation. -
Final Notice 2019: Kevin Gorman [pdf]
This Final Notice refers to breaches of Article 19(1) of MAR related to failing to notify trading in shares to their issuer and the FCA as a PDMR in the issuer sector. We imposed a financial penalty. -
Final Notice 2017: Prestige Cars of Essex 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.