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Showing 1341 to 1350 of 1701 search results for This Final Notice refers to breaches of PRIN.
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Final Notice 2018: De Luxe Drinks Ltd [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. -
Final Notice 2022: Esfera Capital, Agencia de Valores, S.A. [pdf]
This Final Notice (Esfera Capital) refers to a failure to satisfy the effective supervision and suitability threshold conditions (COND) and to be open and co-operative with the Authority (PRIN 11) in relation to a firm within the TPR. We imposed a -
Final Notice 2018: Alex Hope [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment sector. We imposed a prohibition. -
FCA Final Notice 2014: Douglas Carroll trading as City and Chartered Mortgage Services [pdf]
This final notice refers to breaches of TC and SUP 16 related to transaction reporting in the general insurance and protection sector. We imposed a withdrawal. -
Final Notice 2017: Raj Von Badlo [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 2017: Niall O’Kelly [pdf]
This final notice refers to breaches of s.118(7) Financial Services and Markets Act 2000 and FIT related to market abuse, a lack of fitness/propriety and client money/assets in the trading firm sector. We imposed a fine and prohibition. -
Final Notice 2019: David John Mills [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety. We imposed a prohibition. -
FCA Final Notice 2013: Christopher Willford [pdf]
This final notice refers to breaches of APER 6 related to failing to act on information appropriately in the retail banks sector. We imposed a fine. -
Final Notice 2023: Houghton Motor Group Ltd [pdf]
This final notice refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative (PRIN 11) in the Credit Broking sector. We refused the firm’s application for authorisation. -
FCA Final Notice 2014: Nick Bowyer [pdf]
This final notice refers to breaches of APER 6 related to unfair treatment of customers, mis-selling, remuneration, and culture/governance in the payment services sector. We imposed a fine and a prohibition.