Search results
Showing 1231 to 1240 of 1715 search results for Final Notice refers to breaches of PRIN.
-
Final Notice 2018: FM 247 (UK) Limited [pdf]
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 consumer credit sector. We imposed a cancellation. -
FCA Final Notice 2013: Derek Jones [pdf]
This final notice refers to breaches of APER 6 related to lack of fitness /propriety in the mortgage and consumer credit sector. We imposed a prohibition. -
Final Notice 2015: Kevin Allen [pdf]
This final notice refers to breaches of APER 1 & FIT related to lack of fitness/propriety in the Mortgages sector. We imposed a prohibition and a public censure. -
Final notice 2016: Abbas Khan trading as Parry Lane Services [pdf]
This final notice refers to breaches of Principle 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation. -
Final Notice 2021: Mr Adrian Horn [pdf]
The Final Notice refers to breaches of MAR and FIT relating to Market Abuse in the Trading Firm sector. We imposed a Financial Penalty and Prohibition. -
Final Notice 2024: Tyrone Miller [pdf]
“This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.” -
Final Notice 2022: Thomas Henry Ward [pdf]
This Final Notice (Thomas Henry Ward) refers to breaches of section 63A FSMA and FIT related to a lack of fitness/propriety in the investment adviser and pensions sector. We imposed a prohibition and financial penalty. -
Final Notice 2019: Port Dundas Car Sales Limited [pdf]
This final notice (Port Dundas Car Sales Limited) 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 consumer credit sector. We imposed a cancellation. -
FCA Final Notice 2014: Mark Stevenson [pdf]
This final notice refers to breaches of MAR related to market abuse in the investment banks sector. We imposed a fine and prohibition. -
Final Notice 2019: First Quality Finance Ltd [pdf]
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 consumer credit sector. We imposed a cancellation.