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Showing 551 to 560 of 1275 search results for This final notice refers to breaches of COND and PRIN.

  1. Final Notice 2021: Sapien Capital Limited [pdf]

    Final notices Published: 06/05/2021
    This Final Notice (Sapien Capital Limited) refers to breaches of PRIN 2 and PRIN 3 related to the risk of financial crime in the trading firms sector. We imposed a financial penalty.

  2. Final Notice 2019: Darren Parry (Barry Trade Sales trading as) [pdf]

    Final notices Published: 09/04/2019
    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 2019: Paul Dennison (Yes Car Contracts trading as) [pdf]

    Final notices Published: 23/04/2019
    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.

  4. Final Notice 2020: Goldman Sachs International (GSI) [pdf]

    Final notices Published: 22/10/2020 Last modified: 22/10/2020
    This Final Notice refers to breaches of PRIN 2 and PRIN 3 related to wholesale conduct in the investment bank sector. We imposed a financial penalty.

  5. Final Notice 2016: Richard Barca [pdf]

    Final notices Published: 14/11/2016
    This final notice refers to breaches of PRIN11 and COND relating to failing to be open and co-operative in the consumer credit sector. We imposed a refusal.

  6. FCA Final Notice 2013: Porta Verde Financial Services Limited [pdf]

    Final notices Published: 24/10/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 3, PRIN 6 and PRIN 7 related to appointed representatives, and unfair treatment of customers in the general insurance and protection sector. We imposed a fine.

  7. Final Notice 2021: Unicorn Auto Services Limited [pdf]

    Final notices Published: 26/04/2021
    This final notice Unicorn Auto Services Limited refers to a failure to satisfy the threshold conditions (COND) and to be open and cooperative with the regulator (PRIN 11) in the claims management sector. We refused the firm’s application for

  8. Final Notice 2018: The Skin Clinic + Hair Transplant Centre Limited [pdf]

    Final notices Published: 19/02/2018
    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.

  9. Final Notice 2022: Capital Investements Limited [pdf]

    Final notices Published: 19/01/2022
    This final notice refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative (PRIN 11) in the claims management sector. We refused the firm’s application for authorisation.

  10. Final Notice 2020: TFS-ICAP Limited [pdf]

    Final notices Published: 23/11/2020 Last modified: 23/11/2020
    This Final Notice refers to breaches of PRIN 2, PRIN 3 and PRIN 5 related to wholesale conduct in the wholesale broker sector. We imposed a financial penalty.