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Showing 1201 to 1210 of 1275 search results for This final notice refers to breaches of COND and PRIN.
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Final Notice 2017: We Source Any Vehicle Limited [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation. -
Final Notice 2018: Strawberry Communications 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 cancellation. -
Final Notice 2018: Polmaise Community Credit Union Limited [pdf]
This final notice refers to breaches of Principle 11 related to failing to be open and co-operative in the credit union sector. We imposed a cancellation. -
Final Notice 2022: Citigroup Global Markets Limited [pdf]
This Final Notice refers to breaches of Principle 2 of the FCA’s Principles for Businesses and Article 16(2) of the Market Abuse Regulation related to market protection and wholesale conduct in the Investment Banking and Trading Firm sector. We -
Final Notice 2017: KJ Precious Metal Trading LLP [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the investment adviser sector. We imposed a cancellation. -
Final Notice 2015: Quick Purchase [pdf]
This Final Notice refers to breaches of PRIN 6 and MCOB (Mortgage Conduct of Business Rules) related to unfair treatment of customers in the sale and rent back sector. We imposed a fine and redress. -
FCA Final Notice 2014: Chase de Vere Independent Financial Advisers Limited (formerly AWD Chase de Vere Limited) [pdf]
This final notice refers to breaches of PRIN 3, PRIN 7, SYSC, and COBS related to mis-selling in the investment adviser sector. We imposed a redress. -
Final Notice 2019: The Carphone Warehouse Limited [pdf]
This final notice (The Carphone Warehouse Limited) refers to breaches of PRIN 3, 6 and 9 related to mis-selling in the general insurance and protection sector. We imposed a fine. -
Final Notice: Rollin Stock (Hair & Beauty) Ltd [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 2017: Claudia Vida [pdf]
This final notice refers to breaches of Principle 11 and SUP related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.