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Showing 641 to 650 of 1709 search results for This final notice refers to breaches of COND.

  1. Final Notice 2018: Ryan Francis (trading as Faringdon Car Company) [pdf]

    Final notices Published: 25/07/2018
    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 consumer credit sector. We imposed a cancellation.

  2. Final Notice 2019: Forest Auto Sales (Jonathan Townsend trading as) [pdf]

    Final notices Published: 22/02/2019
    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.

  3. Final Notice 2022: Jeanine Lewis [pdf]

    Final notices Published: 28/04/2022
    This Final Notice ( Jeanine Lewis) refers to breaches of FIT. We imposed a prohibition.

  4. Final notice 2016: Cenkos Securities Plc [pdf]

    Final notices Published: 09/08/2016 Last modified: 09/08/2016
    This final notice refers to listing rules breaches in the sponsor sector. We imposed a fine.

  5. Final Notice 2018: De Luxe Drinks Ltd [pdf]

    Final notices Published: 11/01/2018
    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.

  6. Final Notice 2020: John Joseph Cullen (trading as Bankpark Motors) [pdf]

    Final notices Published: 26/06/2020
    This final notice (John Joseph Cullen (trading as Bankpark Motors)) 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

  7. Final notice 2020: SCI Group UK Limited [pdf]

    Final notices Published: 17/04/2020
    This final notice (SCI Group UK Limited) refers to an applicant applying under section 55A of the Financial Services and Markets Act 2000 for Part 4A permission to carry on a regulated activity. The applicant failed to satisfy the Threshold

  8. Final Notice 2020: Aviva plc [pdf]

    Final notices Published: 26/10/2020
    This Final Notice (Aviva plc) refers to breaches of Listing Rule 1.3.3R and Transparency Rule 1A.3.2R related to Listing rules/DTR breaches in the General Insurance and Protection sector. We issued a public censure. File updated with accessibility

  9. Final Notice 2022: Simon Tyson [pdf]

    Final notices Published: 06/10/2022
    This Final Notice (Simon Tyson) refers to breaches of APER 7 related to the failure to ensure compliance with PRIN 3 in the trading firms sector, which led to further breaches of SUP 17, SUP 15 and Article 16 of MAR. We imposed a financial penalty

  10. Final Notice 2020: Barclays [pdf]

    Final notices Published: 15/12/2020
    This Final Notice (Barclays) refers to breaches of PRIN 6, PRIN 3, and CONC related to unfair treatment of customers in the Retail Banking sector. We imposed a financial penalty.
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