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Showing 841 to 850 of 1701 search results for This Final Notice refers to breaches of PRIN.
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First Supervisory Notice 2019: SVS Securities Plc [pdf]
This first supervisory notice refers to a failure to satisfy the suitability and appropriate resources threshold conditions (COND) and to breaches of SYSC, PROD and PRIN. We imposed requirements on the firm. -
Final Notice 2018: Col Smith Car Sales [pdf]
This final -
Final Notice 2018: Oaklea Autos NI Ltd [pdf]
This final -
Final Notice 2024: Hadyn Gamblin [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 2018: Big Brother Systems Ltd [pdf]
This FCA -
Final notice 2020: Pixma Group Ltd [pdf]
This final notice (Pixma Group Ltd) refes to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation. -
FCA Decision Notice 2013: Andrew Peter Wilkins [pdf]
This decision notice refers to breaches of PRIN 6 related to financial promotions and unfair treatment of customers in the investment advisers and platforms sector. We imposed a fine and partial prohibition. -
Final Notice 2018: Zoe Croft [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. -
Decision Notice 2023: Banque Havilland SA [pdf]
This Decision Notice (Banque Havilland SA) refers to breach of Principle 1 related to failing to conduct its business with integrity in the private banking sector. Our view is that a financial penalty of £10,000,000 should be imposed. -
Final Notice 2018: Alex Payne [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.