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Showing 671 to 680 of 845 search results for Final Notice refers to breaches of PRIN 2 and PRIN 3 related.

  1. Final Notice 2022: TFS Loans Ltd (in administration) [pdf]

    Final notices Published: 10/06/2022
    This Final Notice (TFS Loans Ltd in administration) refers to breaches of the Principle 6 and 3 and CONC related to the unfair treatment of customers acting as guarantors in the consumer credit sector. A financial penalty has been imposed and TFS

  2. Final Notice 2022: Sigma Broking Limited [pdf]

    Final notices Published: 06/10/2022
    This Final Notice (Sigma Broking Limited) refers to breaches of SUP 17, SUP 15, PRIN 3 and Article 16 of MAR related to market abuse and transaction reporting failures in the trading firm sector. We imposed a financial penalty.

  3. Final Notice 2018: Marcel Rochester [pdf]

    Final notices Published: 01/05/2018
    This final notice (Marcel Rochester) refers to breaches of Principle 11 and SUP related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  4. Final Notice 2017: Reliable Runners Limited [pdf]

    Final notices Published: 13/03/2017
    This final notice refers to breaches of COND and Principle 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

  5. Final notice 2016: El-Essawy Holistic Care Limited [pdf]

    Final notices Published: 04/05/2016 Last modified: 04/05/2016
    This final notice refers to a breach of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  6. Final Notice 2022: Citigroup Global Markets Limited [pdf]

    Final notices Published: 19/08/2022
    This Final Notice refers to breaches of Principle 2 of the FCA’s Principles for Businesses and Article 16(2) of the Market Abuse Regulation related to market protection and wholesale conduct in the Investment Banking and Trading Firm sector. We

  7. Final notice 2017: Bishop Car Sales Limited [pdf]

    Final notices Published: 21/02/2017
    This final notice refers to breaches of COND and Principle 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

  8. Final Notice 2018: Michael George Hutley [pdf]

    Final notices Published: 14/06/2018
    This final notice refers to breaches of Principle 11 and SUP related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  9. Final Notice 2017: Dr Saim Köksal trading as Arcis Management Consultancy [pdf]

    Final notices Published: 07/02/2017
    This final notice refers to breaches of PRIN 11 and COND related to failing to be open and co-operative in the consumer credit sector. We imposed a refusal of the applicant’s Part 4A application.

  10. Sophie Clements t/a Essex Approved Cars [pdf]

    Final notices Published: 02/05/2018
    This final notice (Sophie Clements t/a Essex Approved Cars) refers to breaches of Principle 11 and SUP related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.