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Showing 841 to 850 of 1701 search results for This final notice refers to breaches of PRIN.

  1. First Supervisory Notice 2019: SVS Securities Plc [pdf]

    Supervisory notices Published: 08/08/2019
    This first supervisory notice refers to a failure to satisfy the suitability and appropriate resources threshold conditions (COND) and to breaches of SYSC, PROD and PRIN. We imposed requirements on the firm.

  2. Final Notice 2018: Col Smith Car Sales [pdf]

    Final notices Published: 26/06/2018
    This final

  3. Final Notice 2018: Oaklea Autos NI Ltd [pdf]

    Final notices Published: 06/03/2018
    This final

  4. Final Notice 2024: Hadyn Gamblin [pdf]

    Final notices Published: 01/03/2024
    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.

  5. Final Notice 2018: Big Brother Systems Ltd [pdf]

    Final notices Published: 31/07/2018
    This FCA

  6. Final notice 2020: Pixma Group Ltd [pdf]

    Final notices Published: 28/01/2020
    This final notice (Pixma Group Ltd) refes to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

  7. FCA Decision Notice 2013: Andrew Peter Wilkins [pdf]

    Decision notices Published: 04/10/2013 Last modified: 04/06/2015
    This decision notice refers to breaches of PRIN 6 related to financial promotions and unfair treatment of customers in the investment advisers and platforms sector. We imposed a fine and partial prohibition.

  8. Final Notice 2018: Zoe Croft [pdf]

    Final notices Published: 16/08/2018
    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.

  9. Decision Notice 2023: Banque Havilland SA [pdf]

    Decision notices Published: 05/05/2023
    This Decision Notice (Banque Havilland SA) refers to breach of Principle 1 related to failing to conduct its business with integrity in the private banking sector. Our view is that a financial penalty of £10,000,000 should be imposed.

  10. Final Notice 2018: Alex Payne [pdf]

    Final notices Published: 16/08/2018
    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.
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