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Showing 681 to 690 of 1340 search results for Final Notice refers to breaches of FIT.

681. Final notice 2015: Oaklands Courier Limited [pdf]

     Final notices Published: 26/11/2015 Last modified: 26/11/2015
     The final notice refers to breaches of PSR related to failing to be open and co-operative in the payment services sector. We imposed a cancellation.

682. FCA Final Notice 2014: Lloyds Bank plc and Bank of Scotland plc [pdf]

     Final notices Published: 28/07/2014 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 3 and PRIN 5 related to wholesale conduct, benchmarks, and conflicts of interest in the retail banks sector. We imposed a fine.

683. Final Notice 2015: Merrill Lynch International [pdf]

     Final notices Published: 22/04/2015 Last modified: 22/04/2015
     This final notice refers to breaches of SUP related to transaction reporting in the investment bank sector. We imposed a fine.

684. Final Notice 2016: Peter Roy Alexander [pdf]

     Final notices Published: 25/07/2016 Last modified: 25/07/2016
     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.

685. Final Notice 2017: Mervyn Johnston [pdf]

     Final notices Published: 10/05/2017
     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.

686. Final Notice 2021: Roman Claims Limited [pdf]

     Final notices Published: 26/11/2021
     This final notice refers to a failure to satisfy the threshold conditions (COND) and to be open and cooperative with the regulator (PRIN 11) in the claims management sector. We refused the firm’s application for authorisation.

687. FCA Final Notice 2014: Codeway Finance Limited [pdf]

     Final notices Published: 14/08/2014 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 services sector. We imposed a cancellation.

688. Final Notice 2017: Michael McGillen [pdf]

     Final notices Published: 02/10/2017
     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.

689. Final Notice 2017: Woodston 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.

690. Final Notice 2023: Columbus Legal Limited [pdf]

     Final notices Published: 23/05/2023
     This Final Notice refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the General Insurance and investment adviser sector. We imposed a cancellation.