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Showing 741 to 750 of 1133 search results for final notice refers to breaches of FIT related.

741. Final Notice 2017: NRG Installer Ltd [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.

742. FCA Final Notice 2014: Martin Brokers (UK) Ltd (Martins) [pdf]

     Final notices Published: 15/05/2014 Last modified: 24/02/2015
     This final notice refers to breaches of PRIN 3 and PRIN 5 related to wholesale conduct, benchmarks, and culture/governance in the trading firm. We imposed a fine.

743. Final Notice 2017: Hugo Henry Adkins [pdf]

     Final notices Published: 24/05/2017
     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.

744. Final notice 2016: Bar Professions Limited (in liquidation) [pdf]

     Final notices Published: 01/02/2016 Last modified: 01/02/2016
     This final notice refers to breaches of PRIN 2, PRIN 7 and ICOBS related to appointed representatives and failing to act on information appropriately in the general insurance and protection sector. We imposed a public censure.

745. Final notice 2016: Prestige Motor Base Limited [pdf]

     Final notices Published: 14/07/2016 Last modified: 14/07/2016
     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.

746. Final notice 2016: Timothy Alan Roberts [pdf]

     Final notices Published: 08/04/2016 Last modified: 11/04/2016
     This final notice refers to breaches of APER 1 and APER 6 related to the unfair treatment of customers in the investment adviser sector. We imposed a fine and prohibition.

747. FCA Final Notice 2014: Peter Halpin [pdf]

     Final notices Published: 05/11/2014 Last modified: 07/04/2015
     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

748. Final notice 2020: Forward Leasing Ltd [pdf]

     Final notices Published: 28/01/2020
     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.

749. FCA Final Notice 2013: AXA Wealth Services Ltd (“AXA”) [pdf]

     Final notices Published: 13/09/2013 Last modified: 07/04/2015
     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.

750. FCA Final Notice 2014: Forex Trading (UK) Limited [pdf]

     Final notices Published: 17/03/2014 Last modified: 07/04/2015
     This final notice refers to breaches of PSR related to failing to be open and co-operative in the payment systems sector. We imposed a cancellation.