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Showing 1681 to 1690 of 1715 search results for Final Notice refers to breaches of PRIN.
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FCA Final Notice 2013: Goldthorn Mortgage & Insurance Services Limited (In Liquidation) [pdf]
This final notice refers to breaches of TC related to threshold conditions in the general insurance and protection. We imposed a cancellation. -
Final notice: Wage Payment and Payday Loans Limited [pdf]
This final notice refers to breaches of COND related to failing to satisfy Threshold Conditions in the consumer credit sector. We imposed a cancellation. -
Final Notice 2015: Andrew Baxter trading as Wealth Management [pdf]
This final notice refers to breaches of Principle 11 / COND related to threshold conditions and failing to be open and co-operative in the investment advisor sector. We imposed a cancellation. -
FCA Final Notice 2014: Paul Bryan Moss trading as IMG Mortgages [pdf]
This final notice refers to breaches of TC related to threshold conditions in the general insurance and protection sector. We imposed a cancellation. -
FCA Final Notice 2013: Al-Bukhari Travel and Leisure Services Limited [pdf]
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. -
Final notice 2019: Professional Personal Claims Limited (PPC) [pdf]
This final notice refers to breaches of the Conduct of Authorised Persons Rules 2014 in relation to misleading consumers to claims in the claims management companies sector. We imposed a financial penalty. -
Final Notice 2019: Cathay International Holdings Limited [pdf]
This final notice (Cathay International Holdings Limited) refers to breaches of the Listing Principles and Disclosure Rules and Transparency Rules in the issuer sector. We imposed a financial penalty. -
FCA Decision Notice 2016: KWS Wealth Management Limited [pdf]
This Final Notice refers to breaches of COND related to threshold conditions in the investment adviser sector. We imposed a cancellation. -
Final Notice 2022: Trade Motor Sales and Repairs Ltd [pdf]
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. -
Final Notice 2020: Zaka Haq trading as Accident Specialists Bedford [pdf]
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.