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Showing 871 to 880 of 1275 search results for This final notice refers to breaches of COND and PRIN.

  1. Final Notice 2017: Limited2Art Ltd [pdf]

    Final notices Published: 19/10/2017
    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.

  2. Final Notice 2020: LJ Financial Planning Ltd [pdf]

    Final notices Published: 10/12/2020
    This Final Notice refers to breaches of PRIN 8 and PRIN 9 related to conflicts of interest and failure to provide suitable advice in the Pensions sector. The FCA imposed a financial penalty.

  3. Final notice 2019: Tullett Prebon (Europe) Limited [pdf]

    Final notices Published: 11/10/2019
    This final notice (Tullett Prebon (Europe) Limited) refers to breaches of PRIN 2, PRIN 3 and PRIN 11 related to wholesale conduct and failing to be open and co-operative in the trading firm sector. We imposed a financial penalty.

  4. Final notice 2016: Kildare Capital (UK) Limited [pdf]

    Final notices Published: 22/07/2016 Last modified: 22/07/2016
    This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the general insurance and protection sector. We imposed a cancellation.

  5. Final Notice 2019: R. Raphael & Sons Plc [pdf]

    Final notices Published: 30/05/2019
    This final notice refers to breaches of PRIN 2, PRIN 3, SYSC 8 relating to culture/governance in the retail bank sector. We imposed a financial penalty.

  6. Final Notice 2020: Zaka Haq trading as Accident Specialists Bedford [pdf]

    Final notices Published: 20/10/2020 Last modified: 20/10/2020
    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.

  7. Final Notice 2017: Jamie Harwood T/A MJ HARWOOD [pdf]

    Final notices Published: 07/07/2017
    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.

  8. FCA Final Notice 2014: Invesco Asset Management Limited, Invesco Fund Managers Limited [pdf]

    Final notices Published: 28/04/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 3, PRIN 7 and COLL related to unfair treatment of customers in the asset management sector. We imposed a fine.

  9. Final Notice 2017: Insure PMR [pdf]

    Final notices Published: 31/05/2017
    This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the general insurance and protection and consumer credit sector. We imposed a cancellation.

  10. Final Notice 2021: Alsford Page & Gems Limited [pdf]

    Final notices Published: 20/04/2021
    This Final Notice refers to breaches of PRIN 3 and PRIN 6 related to Appointed representative sales of extended warranty insurance products in the General Insurance and Protection sector. We imposed a public censure.