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Showing 571 to 580 of 1074 search results for Final Notice refers to breaches of PSR related.

  1. Final notice 2015: Big T Media Limited [pdf]

    Final notices Published: 08/12/2015 Last modified: 08/12/2015
    The final notice refers to breaches of COND, CONC, PRIN 11, CASS, SYSC related to threshold conditions and failing to be open and co-operative in the consumer credit sector. We imposed a refusal.

  2. FCA Final Notice 2013: Ingram Graham Limited (in Creditors’ Voluntary Liquidation) [pdf]

    Final notices Published: 21/08/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 11 related to threshold conditions in the investment advisors & platforms sector. We imposed a cancellation.

  3. Final Notice 2016: Peter Roy Alexander [pdf]

    Final notices Published: 25/07/2016 Last modified: 25/07/2016
    This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  4. Final notice 2016: Tellaw (UK) Limited [pdf]

    Final notices Published: 17/08/2016
    This final notice refers to breaches of the Electronic Money Regulations 2011, Regulation 13, related to initial capital, business plan, safeguarding, lack of fitness and propriety, and failing to be open and co-operative with the Authority. We

  5. Final Notice 2017: Eco-Insulation Ltd [pdf]

    Final notices Published: 08/11/2017
    This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

  6. FCA Final Notice 2014: Coffin Insurance Services [pdf]

    Final notices Published: 25/11/2014 Last modified: 26/11/2014
    This Final Notice refers to breaches of Principle 11 related to threshold conditions in the general insurance and protection sector. We imposed a cancellation.

  7. FCA Final Notice 2014: Santander UK plc [pdf]

    Final notices Published: 26/03/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 7, PRIN 9 and COBS related to unfair treatment of customers in the wealth management and private banking, investment advisers and platforms sector. We imposed a fine.

  8. Final Notice 2019: Egcars [pdf]

    Final notices Published: 10/04/2019
    This final notice (Egcars) 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.

  9. Final Notice 2017: David Stephen Hancock [pdf]

    Final notices Published: 29/03/2017
    This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  10. FCA Final Notice 2014: Lloyds Bank plc and Bank of Scotland plc [pdf]

    Final notices Published: 28/07/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 3 and PRIN 5 related to wholesale conduct, benchmarks, and conflicts of interest in the retail banks sector. We imposed a fine.
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