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Showing 831 to 840 of 1210 search results for This Final Notice refers to breaches of PRIN 3 related.
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Final Notice 2017: Tesco plc [pdf]
This final notice refers to breaches of s.118(7) related to market abuse in the issuer sector. We imposed a restitution. -
Final Notice 2023: Sussex Urban Motor Company ltd [pdf]
This final notice refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative (PRIN 11) in the Consumer Credit sector. We refused the firm’s application for authorisation. -
Decision Notice 2021: BlueCrest Capital Management (UK) LLP [pdf]
This decision notice (BlueCrest Capital Management (UK) LLP) refers to breaches of Principle 8 related to conflicts of interest in the asset management sector. Our view is that a financial penalty should be imposed. -
Final Notice 2023: Wellington Court Financial Services Limited [pdf]
This final notice (Wellington Court Financial Services Limited) refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative (PRIN 11) in relation to a firm within the TPR. We imposed a cancellation. -
Final Notice 2022: One Life Funeral Planning Limited [pdf]
This Final Notice (One Life Funeral Planning Limited) refers to a failure to satisfy threshold conditions (COND) in the Funeral Plans sector. We refused the firm’s application for authorisation -
Statement on RTC Management Solutions Ltd [pdf]
This final notice refers to a failure to satisfy the threshold conditions (COND) and to be open and cooperative with the regulator (PRIN 11) in the claims management sector. We refused the firm’s application for authorisation. -
Final Notice 2015: Asia Resource Minerals plc (formerly Bumi plc) [pdf]
This final notice refers to breaches of LR and DTR related to listing rules breaches in the issuer sector. We imposed a fine. -
Decision Notice 2018: One Call Insurance Services Limited [pdf]
This decision notice refers to breaches of PRIN 10 and CASS related to client money/assets in the general insurance and protection sector. Our view is that a fine and restriction should be imposed. -
Second Supervisory Notice 2020: Fortuna Wealth Management Limited [pdf]
This second supervisory notice refers to breaches of the supervision threshold conditions (COND) and to breaches of PRIN1 and PRIN11 related to lack of fitness/propriety and failing to be open and co-operative in the investment adviser sector. We -
Final Notice 2020: Peter Howson [pdf]
This Final Notice (Peter Anthony Hoswon) refers to breaches of FIT 2.1 related to lack of fitness and propriety in the Investment Adviser sector. We imposed a prohibition.