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Showing 1231 to 1240 of 1275 search results for This final notice refers to breaches of COND and PRIN.
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FCA Decision Notice 2016: KWS Wealth Management Limited [pdf]
This Final Notice refers to breaches of COND related to threshold conditions in the investment adviser sector. We imposed a cancellation. -
Final Notice 2020: Jonathan Birch trading as JB's music store [pdf]
This final notice (Jonathan Birch trading as JB's music store) 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 2020: D.B.Holdings (West Yorkshire) Ltd [pdf]
This final notice (D.B.Holdings (West Yorkshire) Ltd) 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 2017: Merrill Lynch International [pdf]
This final notice refers to breaches of PRIN 3 and Article 9 of EMIR relating to transaction reporting in the investment banking sector. We imposed a fine. -
Final Notice 2017: Syphony Nominees Limited [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in the general insurance and protection sector. We imposed a cancellation. -
Final Notice: The Dental Plan Ltd [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit and general insurance and protection sectors. We imposed a cancellation. -
Final Notice 2019: The Vehicle Repair Specialist (VRS) Limited [pdf]
This final notice (The Vehicle Repair Specialist (VRS) Limited) 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 2015: The Bank of New York Mellon London Branch / The Bank of New York Mellon (International) Ltd [pdf]
This final notice refers to breaches of PRIN 10 and CASS related to client assets in the investment bank sector. We imposed a fine. -
Final notice 2016: Analyst Investment Management Plc [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 2017: Station Road Cars 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.