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Showing 752 to 761 of 846 search results for This final notice refers to breaches of PRIN 11 related.

  1. Financial Services Register

    To look up details of firms, use The Financial Services Register. The register is a public record that shows details of firms, individuals and other bodies that are, or have been, regulated by the Prudential Regulation Authority (PRA) and/or the Financial Conduct Authority (FCA).

  2. Final Notice 2021: Roman Claims Limited [pdf]

    Final notices Published: 26/11/2021
    This final notice refers to a failure to satisfy the threshold conditions (COND) and to be open and cooperative with the regulator (PRIN 11) in the claims management sector. We refused the firm’s application for authorisation.

  3. Final Notice 2022: Elite UK Claims [pdf]

    Final notices Published: 30/09/2022
    Final Notice 2022: Elite UK Claims. This final notice refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative (PRIN 11) in the Claims Management Company sector. We refused the firm’s application for authorisation

  4. Final Notice 2023: MBG Scotland Limited [pdf]

    Final notices Published: 19/07/2023
    This final notice refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative (PRIN 11) in the Credit Broking sector. We refused the firm’s application for authorisation.

  5. Final notice 2016: W H Ireland Limited [pdf]

    Final notices Published: 23/02/2016 Last modified: 23/02/2016
    This final notice refers to breaches of PRIN 3 and SYSC related to market protection, culture/governance and conflicts of interest in the wealth management and private banking sector. We imposed a fine and restriction.

  6. Final Notice 2018: Liberty Mutual Insurance Europe SE [pdf]

    Final notices Published: 30/10/2018
    This final notice refers to breaches of PRIN 3, PRIN 6, SYSC, ICOBS and DISP related to complaints-handling, culture/governance and unfair treatment of customers in the general insurance and protection sector. We imposed a fine.

  7. Final Notice 2019: Linear Investments Limited [pdf]

    Final notices Published: 29/04/2019
    This final notice (Linear Investments Limited) refers to breaches of PRIN 3 related to market protection and market abuse in the trading firm sector. We imposed a fine.

  8. Final Notice 2021: Hudson Bay Finance Company Ltd [pdf]

    Final notices Published: 10/02/2021
    This final notice (Hudson Bay Finance Company Ltd) 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. Final Notice 2022: Stephen John Tomlin [pdf]

    Final notices Published: 06/10/2022
    This Final Notice (Stephen John Tomlin) refers to breaches of APER 7 and APER 6 related to the failure to ensure compliance oversight and compliance with PRIN 3 in the trading firms sector, which led to further breaches of SUP 17, SUP 15 and Article

  10. Final Notice 2020: Red Tree Motor Company Limited [pdf]

    Final notices Published: 14/12/2020
    This final notice (Red Tree Motor Company Limited) 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.

  11. Final Notice 2022: Grant Hawthorne Motor Company Ltd [pdf]

    Final notices Published: 04/02/2022
    This Final Notice (Grant Hawthorne Motor Company Ltd) 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.