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Showing 561 to 570 of 1275 search results for This final notice refers to breaches of COND and PRIN.

  1. Final Notice 2022: Julius Baer International Limited [pdf]

    Final notices Published: 30/11/2022
    This Final Notice refers to breaches of PRIN 1, PRIN 3 and PRIN 11 related to failing to act with integrity, governance and failing to be open and co-operative in the in the Wealth Management and Private Banking sector. We imposed a financial penalty

  2. 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.

  3. Final Notice 2023: MC Motor Sales Ltd [pdf]

    Final notices Published: 30/08/2023
    This final notice refers to a failure to satisfy threshold conditions (COND). We refused the firm’s application for authorisation.

  4. Final Notice 2022: Mayfair Jewellers Ltd [pdf]

    Final notices Published: 04/02/2022
    This Final Notice (Mayfair Jewellers Ltd) refers to a failure to satisfy the suitability threshold conditions (COND) and to be open and co-operative with the Authority (PRIN 11) in the Consumer Credit sector. We imposed a cancellation

  5. FCA Final Notice 2014: GS Cars (UK) Limited [pdf]

    Final notices Published: 28/08/2014 Last modified: 07/04/2015
    This final notice refers to breaches of COND related to lack of fitness/propriety in the consumer credit sector. We imposed a refusal.

  6. 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.

  7. Final Notice 2018: Asset Trust Group (Paul Hammond trading as) [pdf]

    Final notices Published: 08/08/2018
    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 General Insurance and Protection sector and Investment advisory sector. We imposed a

  8. Final Notice 2023: Vast Cars Limited [pdf]

    Final notices Published: 27/01/2023
    This final notice (Vast Cars Limited) refers to a failure to satisfy the Suitability and Appropriate Resources threshold conditions (COND) in the consumer credit sector. We imposed a cancellation.

  9. Final Notice 2019: Andrew Morris Cars Ltd [pdf]

    Final notices Published: 25/07/2019
    This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in

  10. FCA Final Notice 2013: Westwood Independent Financial Planners [pdf]

    Final notices Published: 17/12/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 7, PRIN 9 and COBS related to mis-selling and unfair treatment of customers in the investment advisers and platforms sector. We imposed a fine.