Filter results
Filter by document type
Filter by year
Sort by:

Search results

Showing 811 to 820 of 1069 search results for This final notice refers to breaches of MAR related.

  1. FCA Final Notice 2013: The Transportation Group (UK) Limited [pdf]

    Final notices Published: 02/09/2013 Last modified: 07/04/2015
    This final notice refers to breaches of TC related to threshold conditions in the designated investment business sector. We imposed a cancellation.

  2. FCA Final Notice 2014: HomeServe Membership Limited [pdf]

    Final notices Published: 13/02/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 3, PRIN 6 and PRIN 7 related to mis-selling, complaints-handling, unfair treatment of customers, and remuneration in the general insurance and protection sector. We imposed a fine.

  3. Final notice 2016: ABC Insolvency Services Limited [pdf]

    Final notices Published: 27/04/2016 Last modified: 27/04/2016
    This final notice refers to breaches of COND and PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a refusal.

  4. Final Notice 2017: Swiss Watch Trading Limited [pdf]

    Final notices Published: 04/01/2017
    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.

  5. Final Notice 2017: Allenby Stevenson Limited [pdf]

    Final notices Published: 18/08/2017
    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.

  6. Final Notice 2018: Paul Thomas Maksymuik [pdf]

    Final notices Published: 31/01/2018
    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, Mortgages and Investment Adviser. We imposed a cancellation.

  7. Final Notice 2023: Bastion Capital London Limited [pdf]

    Final notices Published: 13/07/2023
    This Final Notice 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.

  8. Final Notice 2017: Michael James Automotive Limited [pdf]

    Final notices Published: 04/01/2017
    This final notice refers to breaches of PRIN 11 and SUP related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  9. FCA Final Notice 2014: Castle Wildish Chartered Surveyors [pdf]

    Final notices Published: 10/10/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 11 related to threshold conditions in the general insurance and protection sector. We imposed a withdrawal.

  10. Final Notice 2023: Amigo Loans Ltd [pdf]

    Final notices Published: 14/02/2023
    This Final Notice refers to breaches of Principle 2 (skill, care and diligence), Principle 3 (management and control) and Principle 6 (customers’ interests) related to failure to conduct adequate affordability checks in the Consumer Credit sector.