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Showing 1371 to 1380 of 1701 search results for This final notice refers to breaches of PRIN.

  1. Final Notice 2019: Top Car Leasing Limited [pdf]

    Final notices Published: 27/02/2019
    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.

  2. Final Notice 2015: Kenneth George Carver [pdf]

    Final notices Published: 30/03/2015 Last modified: 30/03/2015
    This final notice refers to breaches of MAR related to market abuse in the issuer sector. We imposed a fine.

  3. Final Notice 2020: Mark Horsey [pdf]

    Final notices Published: 05/11/2020
    This Final Notice (Mark Horsey) refers to breaches of FIT by a financial adviser. We imposed a prohibition. File updated to include autotag accessibility requirement.

  4. Final Notice 2015: Craig Anthony Welborn [pdf]

    Final notices Published: 09/12/2015 Last modified: 09/12/2015
    This final notice refers to breaches of COND and TC related to failing to be open and co-operativein the consumer credit sector. We imposed a refusal.

  5. Final Notice 2019: Darren Parry (Barry Trade Sales trading as) [pdf]

    Final notices Published: 09/04/2019
    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.

  6. FCA Final Notice 2014: David John Hobbs [pdf]

    Final notices Published: 25/02/2014 Last modified: 07/04/2015
    This final notice refers to breaches of FIT related to lack of fitness/propriety in the building societies and investment banks sector. We imposed a prohibition.

  7. Final notice 2018: Town & Country Motor Centre (Cornwall) Limited [pdf]

    Final notices Published: 02/02/2018
    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.

  8. Final Notice 2018: Andrew Hind [pdf]

    Final notices Published: 15/11/2018
    This final notice (Andrew Hind) refers to breaches of FIT related to a lack of fitness/propriety in the asset management sector. We imposed a prohibition.

  9. FCA Final Notice 2014: City & Provincial and Mr Zaffar Hassan Tanweer [pdf]

    Final notices Published: 13/03/2014 Last modified: 07/04/2015
    This final notice refers to breaches of APER 1 and FIT related to mortgage fraud in the mortgages and consumer credit sector. We imposed a prohibition (full), fine, withdrawal and cancellation.

  10. Final notice 2016: Treviso Coffee Co Limited [pdf]

    Final notices Published: 03/03/2016 Last modified: 03/03/2016
    This final notice refers to breaches of Principle 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.
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