Filter results
Filter by document type
Filter by year
Sort by:

Search results

Showing 1251 to 1260 of 1715 search results for Final Notice refers to breaches of PRIN.

  1. Final Notice 2024: Paul Ulliott [pdf]

    Final notices Published: 15/01/2024
    This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

  2. Final Notice 2019: F N Pile and Sons [pdf]

    Final notices Published: 12/02/2019
    This final notice (F N Pile and Sons) 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.

  3. Final Notice 2020: Net Direct Car Sales Limited [pdf]

    Final notices Published: 26/06/2020
    This final notice (Net Direct 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 Investment advisory sector, General Insurance and

  4. Final Notice 2024: Robert Harriss [pdf]

    Final notices Published: 24/05/2024
    This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the credit broker sector. We imposed a prohibition.

  5. Final Notice 2022: Matza & Co Limited [pdf]

    Final notices Published: 15/02/2022
    This final notice refers to a failure to satisfy the effective supervision threshold condition (COND) in the consumer credit sector. We imposed a cancellation.

  6. Final notice 2016: James Kirkwood [pdf]

    Final notices Published: 03/03/2016 Last modified: 03/03/2016
    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.

  7. Final Notice 2019: A G Taggart & Co Limited [pdf]

    Final notices Published: 01/05/2019
    This final notice (A G Taggart & Co 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.

  8. Final Notice 2015: Robin Choudhury [pdf]

    Final notices Published: 16/11/2015 Last modified: 16/11/2015
    This final notice refers to breaches of FIT related to lack of fitness/propriety in the general insurance and protection sector. We imposed a prohibition.

  9. FCA Final Notice 2013: Omar Sohail Zaman (trading as Worldwide Money Exchange) [pdf]

    Final notices Published: 07/08/2013 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.

  10. Final Notice 2018: Morecambe and Wize Sales Limited [pdf]

    Final notices Published: 09/03/2018
    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.
Related searches
Related topics