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Showing 1651 to 1660 of 1715 search results for Final Notice refers to breaches of PRIN.

  1. Final Notice 2020: Palace of Royals Furniture (Mr Ali Benomran trading as) [pdf]

    Final notices Published: 12/11/2020 Last modified: 12/11/2020
    This final notice (Palace of Royals Furniture (Mr Ali Benomran trading as)) 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

  2. Final Notice 2023: Platinum Motor Company Ltd [pdf]

    Final notices Published: 15/05/2023
    'The Final Notice refers to breaches of the suitability and appropriate resources Threshold Conditions (COND), and to be open and co-operative with the Authority (Principle 11) in the consumer credit sector. We imposed a cancellation

  3. FCA Final Notice 2013: Route of Asia Money Exchange Limited [pdf]

    Final notices Published: 23/05/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PSR related to lack of fitness and propriety in the payment services sector. We imposed a refusal.

  4. Final Notice 2017: Mr John Chiesa [pdf]

    Final notices Published: 12/10/2017
    This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition and withdrawal.

  5. Final Notice 2022: Neon Digital (Document Solutions) Ltd [pdf]

    Final notices Published: 04/02/2022
    This Final Notice (Neon Digital (Document Solutions) Ltd) 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.

  6. Final Notice 2017: KWS Wealth Management Limited [pdf]

    Final notices Published: 11/07/2017
    This final notice refers to breaches of the suitability Threshold Condition in the Investment Adviser sector. We imposed a cancellation.

  7. Final Notice 2024: James William Edward Lewis [pdf]

    Final notices Published: 07/05/2024
    This Final Notice refers to a failure to act with due care, skill and integrity. We imposed a financial penalty and a prohibition order.

  8. Final Notice 2019: Samrat Deep Bhandari [pdf]

    Final notices Published: 05/04/2019
    This final notice (Samrat Deep Bhandari) refers to breaches of FIT, which relates to honesty, integrity and reputation. We imposed a prohibition order.

  9. Final notice 2016: Money Clinic Debt Management [pdf]

    Final notices Published: 26/01/2016 Last modified: 26/01/2016
    This final notice refers to breaches of COND related to threshold conditions in the consumer credit sector. We imposed a refusal.

  10. Final notice 2017: Eco Home Alternatives Limited [pdf]

    Final notices Published: 27/01/2017
    This final notice refers to breaches of PRIN11 and COND relating to failing to be open and co-operative in the consumer credit sector. We imposed a refusal.
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