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Showing 1491 to 1500 of 1715 search results for Final Notice refers to breaches of PRIN.

  1. 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.

  2. Final Notice 2021: Simon John Varley [pdf]

    Final notices Published: 15/04/2021
    This Final Notice refers to Section 63A FSMA and breaches relating to APER 1 and FIT relating to a lack of honesty and integrity in the investment advisory sector. We imposed a fine and a prohibition.

  3. Final Notice 2022: Capital Investements Limited [pdf]

    Final notices Published: 19/01/2022
    This final notice refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative (PRIN 11) in the claims management sector. We refused the firm’s application for authorisation.

  4. Final Notice 2019: Paul Dennison (Yes Car Contracts trading as) [pdf]

    Final notices Published: 23/04/2019
    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.

  5. 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.

  6. Final Notice 2017: Swift Transfer Limited [pdf]

    Final notices Published: 14/03/2017
    This final notice refers to breaches of PSR related to failing to be open and cooperative in the payment services sector. We imposed a cancellation.

  7. FCA Final Notice 2014: Coffin Insurance Services [pdf]

    Final notices Published: 25/11/2014 Last modified: 26/11/2014
    This Final Notice refers to breaches of Principle 11 related to threshold conditions in the general insurance and protection sector. We imposed a cancellation.

  8. FCA Final Notice 2014: GS Cars (UK) Limited [pdf]

    Final notices Published: 28/08/2014 Last modified: 07/04/2015
    This final notice refers to breaches of COND related to lack of fitness/propriety in the consumer credit sector. We imposed a refusal.

  9. FCA Final Notice 2014: John Christopher Hughes [pdf]

    Final notices Published: 29/04/2014 Last modified: 07/04/2015
    This final notice refers to breaches of FIT related to market protection, wholesale conduct, and lack of fitness/propriety in the investment bank. We imposed a prohibition.

  10. Final Notice 2019: Top Car Leasing Limited [pdf]

    Final notices Published: 27/02/2019
    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.
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