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Showing 581 to 590 of 1275 search results for This final notice refers to breaches of COND and PRIN.
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Final Notice: 24 Hour Car Limited [pdf]
This final notice (24 Hour Car Limited) 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. -
Final Notice 2019: Pitshop Motors (Swindon) Ltd [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in -
Final Notice 2015: Moorhouse Group Limited [pdf]
This final notice refers to breaches of PRIN 3 and PRIN 7 related to mis-selling and culture/governance in the general insurance and protection sector. We imposed a fine. -
Final Notice 2023: C2 Motor Group Ltd [pdf]
This Final Notice (C2 Motor Group Ltd) refers to a failure to satisfy the threshold conditions (COND) in the consumer credit sector. We refused the firm’s application for authorisation. -
Final Notice 2019: Route66 Motor Company (Rhys Christian Green trading as) [pdf]
This final notice (Motor Company (Rhys Christian Green trading as)) 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 -
Final Notice 2020: Blue Gate Capital Limited [pdf]
This Final Notice (Blue Gate Capital Limited) refers to breaches of PRIN 2 and PRIN 7 related to financial promotions in the asset management sector. We imposed a requirement to pay restitution and a public censure. -
FCA Final Notice 2014: Pritchard Stockbrokers Limited (In Special Administration) [pdf]
This final notice refers to breaches of PRIN 1, PRIN 2, PRIN 10 related to client money/assets in the asset management sector. We imposed a public censure. -
Final Notice 2019: B G Car Sales Limited [pdf]
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. -
Final Notice 2021: Integer Vehicle Solutions LTD [pdf]
This final notice (Integer Vehicle Solutions LTD) refers to a failure to satisfy 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 -
FCA Final Notice 2013: JPMorgan Chase Bank, N.A. [pdf]
This final notice refers to breaches of PRIN 2, PRIN 3, PRIN 5, and PRIN 11 related to wholesale conduct, market protection, and failing to be open and co-operative in the investment banks sector. We imposed a fine.