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Showing 641 to 650 of 1275 search results for This final notice refers to breaches of COND and PRIN.
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Final Notice 2018: Mr Dale Cole [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 2017: Ian Foden [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. -
Final Notice 2021: Credit Suisse International, Credit Suisse Securities (Europe) Ltd, and Credit Suisse AG [pdf]
This Final Notice refers to breaches of Prin 2 and Prin 3 related to financial crime and anti-bribery and corruption failings in the investment banking sector. We imposed a financial penalty -
Final Notice 2017: Parm Milap [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation. -
FCA Final Notice 2014: Ewan King [pdf]
This final notice refers to breaches of PRIN 1 related to lack of fitness/propriety in the investment adviser sector. We imposed a fine and a prohibition. -
FCA Final Notice 2014: UBS AG [pdf]
This final notice refers to breaches of PRIN 3 related to wholesale conduct and benchmarks in the investment bank sector. We imposed a fine. -
Final notice 2018: Worldwide Central Repository Limited [pdf]
This final notice refers to breaches of COND related to Threshold conditions in the consumer credit sector. We imposed a refusal. -
FCA Final Notice 2014: Andrew Barlas [pdf]
This final notice refers to breaches of PRIN 1 related to mortgage fraud in the mortgages sector. We imposed a public censure. -
Final Notice 2019: S J Quality Used Cars (Joseph Ansell trading as) [pdf]
This final notice (S J Quality Used Cars (Joseph Ansell 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 2017: Gary Drury [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.