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Showing 792 to 801 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. FCA Final Notice 2014: Chase de Vere Independent Financial Advisers Limited (formerly AWD Chase de Vere Limited) [pdf]

    Final notices Published: 17/11/2014 Last modified: 08/05/2015
    This final notice refers to breaches of PRIN 3, PRIN 7, SYSC, and COBS related to mis-selling in the investment adviser sector. We imposed a redress.

  3. Final Notice 2022: Mark Twizell (trading as Rotary Car Sales) [pdf]

    Final notices Published: 04/02/2022
    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.

  4. Final Notice 2023: Bella-Rose Group Ltd (trading as Scooter Nation) [pdf]

    Final notices Published: 14/03/2023
    This final notice (Bella-Rose Group Ltd (trading as Scooter Nation)) 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

  5. Final Notice 2024: Citigroup Global Markets Limited [pdf]

    Final notices Published: 22/05/2024
    This Final Notice refers to breaches of PRIN 2 and 3, and MAR 7A 3.2 related to wholesale conduct in the investment bank sector. We imposed a fine.

  6. Final Notice 2023: Philip Frederick Edwards (trading as Pe Cctv Direct) [pdf]

    Final notices Published: 31/01/2023
    This Final Notice (Philip Frederick Edwards (trading as Pe Cctv Direct)) 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

  7. Final Notice 2022: Kevin Peter Inwood (trading as Black Dog Motorcycles) [pdf]

    Final notices Published: 29/11/2022
    This Final Notice (Kevin Peter Inwood (trading as Black Dog Motorcycles)) 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

  8. Final Notice 2022: The TJM Partnership Limited (Formerly known as Neovision Global Capital Limited) (In Liquidation) [pdf]

    Final notices Published: 15/07/2022
    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.

  9. Final Notice 2021: Start Your Claims Ltd [pdf]

    Final notices Published: 26/07/2021
    This final notice (Start Your Claims Ltd) refers to a failure to satisfy 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.

  10. Final Notice 2021: Enrico Riga (Trading as Shire Hampton Motors) [pdf]

    Final notices Published: 04/03/2021
    This final notice Enrico Riga (Trading as Shire Hampton Motors)) 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

  11. Final Notice 2020: Just Bank Claims Limited [pdf]

    Final notices Published: 14/12/2020
    This final notice (Just Bank Claims Limited) 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.