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Showing 1321 to 1330 of 1701 search results for This Final Notice refers to breaches of PRIN.

  1. Final Notice 2020: Ian Mackin (trading as Caledonia Finance) [pdf]

    Final notices Published: 11/11/2020 Last modified: 11/11/2020
    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, General Insurance Protection sector, Investment Advisory sector

  2. FCA Final Notice 2013: Churchill Securities (UK) Limited [pdf]

    Final notices Published: 25/07/2013 Last modified: 07/04/2015
    This Final Notice refers to breaches of TC related to threshold conditions in the investment advisors & platforms sector. We imposed a cancellation.

  3. Final Notice 2019: One Stop Financial Services Limited [pdf]

    Final notices Published: 09/01/2019
    This final notice (One Stop Financial Services Limited) refers to a failure to satisfy threshold conditions (COND), be open and co-operative with the Authority (PRIN 11), provide appropriate resources, be fit and proper, be ready willing and

  4. Final Notice 2018: Independent Portfolio Managers Limited [pdf]

    Final notices Published: 03/07/2018
    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 investment advisory sector, mortgage lenders and intermediaries sector and consumer

  5. Final Notice 2015: Salam Transfer Limited [pdf]

    Final notices Published: 13/11/2015 Last modified: 13/11/2015
    This final notice refers to breaches of the Payment Services Regulations 2009 (the PSRs), Regulation 13, related to lack of fitness/propriety and failing to be open and cooperative with the Financial Conduct Authority. We imposed a refusal of the

  6. Final Notice 2018: JP Greenslade (Jonathan Greenslade trading as) [pdf]

    Final notices Published: 11/12/2018
    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.

  7. Final Notice 2019: Bicycle Doctor (South Wales) Ltd [pdf]

    Final notices Published: 01/05/2019
    This final notice (Bicycle Doctor (South Wales) Ltd) 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.

  8. Final Notice 2018: Alok Dhanda [pdf]

    Final notices Published: 16/01/2018
    This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

  9. FCA Final Notice 2013: Khyber Travel & Exchange Limited [pdf]

    Final notices Published: 04/09/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PSR related to lack of fitness, propriety, failing to be open and co-operative in the payment services sector. We imposed a refusal.

  10. Final Notice 2022: MHM Plant Group Limited [pdf]

    Final notices Published: 18/11/2022
    This final notice (MHM Plant Group Limited) refers to a failure to satisfy threshold conditions (COND) in the credit broking sector. We refused the firm’s application for authorisation.
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