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Showing 1191 to 1200 of 1216 search results for Final Notice refers to breaches of PRIN 3 related.

  1. FCA Final Notice 2013: Bentley-Leek Financial Management Limited [pdf]

    Final notices Published: 18/10/2013 Last modified: 07/04/2015
    This final notice refers to breaches of TC related to threshold conditions in the investment advisers and platforms sector. We imposed a withdrawal.

  2. Final Notice 2019: Stewart Owen Ford [pdf]

    Final notices Published: 16/01/2019
    This final notice (Stewart Owen Ford) refers to breaches by an executive director of APER 1, APER 4 and FIT related to mis-selling, failing to be open and co-operative, a lack of fitness/propriety, conflicts of interest, and failing to act on

  3. Final Notice 2015: Anseba Cafe & International Exchange Limited [pdf]

    Final notices Published: 05/08/2015 Last modified: 05/08/2015
    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.

  4. FCA Final Notice 2013: Goldthorn Mortgage & Insurance Services Limited (In Liquidation) [pdf]

    Final notices Published: 06/08/2013 Last modified: 07/04/2015
    This final notice refers to breaches of TC related to threshold conditions in the general insurance and protection. We imposed a cancellation.

  5. Final notice: Wage Payment and Payday Loans Limited [pdf]

    Final notices Published: 13/10/2016
    This final notice refers to breaches of COND related to failing to satisfy Threshold Conditions in the consumer credit sector. We imposed a cancellation.

  6. Final Notice 2019: Prestige Group (UK) I Ltd [pdf]

    Final notices Published: 07/01/2019
    This final notice (Prestige Group (UK) I Ltd) refers to breaches of payment services regulations (PSR) related to failing to be open and co-operative in the payment services sector. For the interest and protection of Consumers, we imposed a

  7. FCA Final Notice 2014: Paul Bryan Moss trading as IMG Mortgages [pdf]

    Final notices Published: 08/01/2014 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.

  8. Final Notice 2015: Andrew Baxter trading as Wealth Management [pdf]

    Final notices Published: 05/02/2015 Last modified: 06/02/2015
    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.

  9. FCA Final Notice 2013: Al-Bukhari Travel and Leisure Services Limited [pdf]

    Final notices Published: 01/07/2013 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 services sector. We imposed a cancellation.

  10. FCA Decision Notice 2016: KWS Wealth Management Limited [pdf]

    Decision notices Published: 15/07/2016 Last modified: 15/07/2016
    This Final Notice refers to breaches of COND related to threshold conditions in the investment adviser sector. We imposed a cancellation.
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