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Showing 1251 to 1260 of 1701 search results for This Final Notice refers to breaches of PRIN.
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Final Notice 2015: Kevin Allen [pdf]
This final notice refers to breaches of APER 1 & FIT related to lack of fitness/propriety in the Mortgages sector. We imposed a prohibition and a public censure. -
Final Notice 2020: Awesome 3 Limited [pdf]
This final notice (Awesome 3 Limited) 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 imposed a cancellation. -
Final notice 2016: Abbas Khan trading as Parry Lane Services [pdf]
This final notice refers to breaches of Principle 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation. -
Final notice 2016: Gavin Breeze [pdf]
This final notice refers to breaches of s.118(2) and (3) Financial Services and Markets Act 2000 related to market abuse in the issuer sector. We imposed a fine, required restitution and a public censure. -
FCA Final Notice 2014: Mohsin Shahzad Khan [pdf]
This final notice refers to breaches of PSR related to failing to be open and co-operative in the payment systems sector. We imposed a cancellation. -
Final Notice 2019: Philips Legal Solutions Limited [pdf]
This final notice (Philips Legal Solutions Limited) 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 imposed a cancellation. -
Final notice 2016: Peter Charles Johnson [pdf]
This final notice refers to breaches of FIT related to benchmarks, a lack of fitness/propriety and wholesale conduct in the retail bank sector. We imposed a prohibition. -
Final Notice 2024: Tyrone Miller [pdf]
“This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.” -
Final Notice 2018: West Gate Car Sales (UK) Limited [pdf]
This final notice 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 imposed a cancellation. -
FCA Final Notice 2013: Norest Chari [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.