Search results
Showing 851 to 860 of 1216 search results for Final Notice refers to breaches of PRIN 3 related.
-
Final Notice 2023: NMC Health Plc (in Administration) [pdf]
This Final Notice refers to breaches of Article 15 EU MAR related to disseminating false and misleading information regarding NMC’s debt positions. We publish a public censure. -
Final Notice 2023: Przemyslaw Soszynski, trading as Phenix Consultancy [pdf]
This final notice refers to a failure to satisfy the threshold conditions (COND) and to be open and cooperative with the regulator (PRIN 11) in the claims management sector. We refused the firm’s application for authorisation. -
Final Notice 2023: David Nigel Lewis [pdf]
This Final Notice refers to breaches of Principles for Business 6 and 7 related to the provision of unsuitable pension transfer advice in the pensions sector. We imposed a partial prohibition. A payment of £26,800 is being made to the FSCS. -
Final Notice 2023: Marfil Financial and Insurance Corporation [pdf]
Final Notice 2023: Marfil Financial and Insurance Corporation This final notice refers to a failure to satisfy -
Final Notice 2021: Principal Claims Management Services Limited [pdf]
This final notice (Principal Claims Management Services Limited) refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative with the regulator (PRIN 11) in the claims management sector. We refused the firm’s -
Final Notice 2017: Adrian Whitehurst [pdf]
This final notice refers to breaches of FIT related to client money/assets and lack of fitness/propriety in the consumer credit sector. We imposed a prohibition. Final Notice: Adrian Whitehurst Conduct: Client money/assets; Lack of fitness/propriety -
Final Notice 2024: Fast Remit Limited [pdf]
This final notice refers to breaches of PSR related to failing to be open and co-operative and payment services regulations in the payment services sector. We imposed a cancellation. -
Final Notice 2022: Sir Christopher Gent [pdf]
This Final Notice (Sir Christopher Gent) refers to breaches of the Market Abuse Regulations related to unlawful disclosure of inside information in the issuers sector. We imposed a financial penalty -
Final Notice 2021: James Sheriff (trading as Your Move First Choice Properties) [pdf]
This final notice (James Sheriff (trading as Your Move First Choice Properties) 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 -
Final Notice 2020: John Butterfield [pdf]
This Final Notice (John Leonard Butterfield) refers to breaches of FIT 2.1 related to lack of fitness and propriety in the Investment Adviser sector. We imposed a prohibition.