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Showing 1271 to 1280 of 1709 search results for This final notice refers to breaches of COND.
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Final Notice 2015: Oracle Financial Planning [pdf]
This final notice refers to breaches of Threshold Conditions and PRIN 11 related to failing to be open and co-operative in the general insurance intermediary sector. We imposed a cancellation. -
Final Notice 2024: Igniter Pay UK Limited [pdf]
This Final Notice refers to a failure to carry on payment service activities. We imposed a cancellation. -
FCA Final Notice 2013: Nicholas Welsh & Co Limited [pdf]
This Final Notice refers to breaches of TC related to threshold conditions in the investment advisors & platforms sector. We imposed a cancellation. -
Final Notice 2020: Ryan Fawson (Kingfisher Finance trading as) [pdf]
This final notice (Ryan Fawson (Kingfisher Finance trading as)) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation”. -
Final notice 2016: Danmirr Capital Limited [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a refusal of the firm's application to carry on the regulated activities of credit broking, deb adjusting and -
Final Notice 2015: Paul Robertson trading as Tony Robertson Insurance [pdf]
This final notice refers to breaches of PRIN 11 related to threshold conditions and failing to be open and co-operative in the mortgages sector. We imposed a cancellation. -
Final Notice 2019: Kevin Gorman [pdf]
This Final Notice refers to breaches of Article 19(1) of MAR related to failing to notify trading in shares to their issuer and the FCA as a PDMR in the issuer sector. We imposed a financial penalty. -
Final Notice 2016: The Heating Design Centre (James Gary Law trading as) [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation. -
Final notice 2016: Harrogate Van Centre Limited [pdf]
This final notice refers to breaches of PRIN 11, failing to be open and co-operative in the consumer credit sector. We imposed a cancellation. -
Final Notice 2019: Terry John Farr [pdf]
This final notice (Terry John Farr) refers to breaches of FIT related to lack of fitness/propriety and wholesale conduct in the trading firm sector. We imposed a prohibition.