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Showing 181 to 190 of 1275 search results for This final notice refers to breaches of COND and PRIN.
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FCA Decision Notice 2016: Michael Wilkinson trading as Michael Wilkinson Mortgages [pdf]
This decision notice refers to breaches of PRIN 4, PRIN 11, COND, MIPRU and SUP related to failing to be open and co-operative and threshold conditions in the regulated home finance sector. Our view is that a cancellation should be imposed. -
2018 fines
This table contains information about fines published during the calendar year ending 2018. The total amount of fines is £60,467,212. -
Final Notice 2018: Col Smith Car Sales [pdf]
This final -
Final Notice 2018: Oaklea Autos NI Ltd [pdf]
This final -
Final Notice 2023: Statum Limited [pdf]
This Final Notices 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. -
2023 fines
Enforcement fines published in 2023. -
Final Notice 2018: Big Brother Systems Ltd [pdf]
This FCA -
2021 fines
This page contains information about enforcement fines published during the calendar year ending 2021. -
First Supervisory Notice 2019: SVS Securities Plc [pdf]
This first supervisory notice refers to a failure to satisfy the suitability and appropriate resources threshold conditions (COND) and to breaches of SYSC, PROD and PRIN. We imposed requirements on the firm. -
Decision Notice 2017: Church Hill Finance (Anthony Badaloo trading as) [pdf]
This decision notice refers to breaches of PRIN 11 and COND related to failing to be open and co-operative in the investment adviser sector. Our view is that a cancellation should be imposed.