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Showing 1391 to 1400 of 1715 search results for Final Notice refers to breaches of PRIN.

1391. Final Notice 2022: Reece Klewchuck [pdf]

      Final notices Published: 18/01/2022
      This final notice refers to a failure to satisfy threshold conditions (COND) in the credit broking sector. We refused the firm’s application for authorisation.

1392. Final Notice 2015: Andrew Paul Condren [pdf]

      Final notices Published: 15/07/2015 Last modified: 15/07/2015
      This final notice refers to breaches of FSMA related to no regulated activities for 12 months in the investment and home finance sector. We imposed a cancellation.

1393. FCA Final Notice 2014: Drain Claim Limited [pdf]

      Final notices Published: 07/01/2014 Last modified: 07/04/2015
      This final notice refers to breaches of TC related to threshold conditions in the general insurance and protection sector. We imposed a cancellation.

1394. Final Notice 2019: One Stop Financial Services Limited [pdf]

      Final notices Published: 09/01/2019
      This final notice (One Stop Financial Services Limited) refers to a failure to satisfy threshold conditions (COND), be open and co-operative with the Authority (PRIN 11), provide appropriate resources, be fit and proper, be ready willing and

1395. Final Notice 2018: Centre for Dentistry Limited [pdf]

      Final notices Published: 11/01/2018
      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.

1396. Final Notice 2020: Ian Mackin (trading as Caledonia Finance) [pdf]

      Final notices Published: 11/11/2020 Last modified: 11/11/2020
      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, General Insurance Protection sector, Investment Advisory sector

1397. FCA Final Notice 2013: Ali Parvez Shaikh [pdf]

      Final notices Published: 01/10/2013 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 systems sector. We imposed a cancellation.

1398. Final Notice 2015: Kweku Mawuli Adoboli [pdf]

      Final notices Published: 16/10/2015 Last modified: 16/10/2015
      This final notice refers to breaches of FIT related to lack of fitness/propriety in the investment bank sector. We imposed a prohibition.

1399. Final Notice 2017: Adam Lancelot [pdf]

      Final notices Published: 20/09/2017
      This final notice refers to breaches of FIT related to lack of fitness/propriety in the Investment Adviser sector. We imposed a prohibition.

1400. Final Notice 2024: Global 4X Limited [pdf]

      Final notices Published: 13/06/2024
      This final notice refers to breaches of Payment Services Regulations 2017 related to a failure to meet the conditions of authorisation. We imposed a cancellation.