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Showing 821 to 830 of 1252 search results for This final notice refers to breaches of PRIN 3 and PRIN.
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Final Notice 2023: Marfil Financial and Insurance Corporation [pdf]
Final Notice 2023: Marfil Financial and Insurance Corporation This final notice refers to a failure to satisfy -
Final Notice 2021: Black and White Accident Management Limited [pdf]
This final notice (Black and White Accident Managment Limited)) 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 -
Final Notice 2023: Stratton Leasing Limited [pdf]
'The Final Notice refers to breaches of the suitability and appropriate resources Threshold Conditions (COND), and to be open and co-operative with the Authority (Prin 11) in the consumer credit sector. We imposed a cancellation. -
Final notice 2015: Big T Media Limited [pdf]
The final notice refers to breaches of COND, CONC, PRIN 11, CASS, SYSC related to threshold conditions and failing to be open and co-operative in the consumer credit sector. We imposed a refusal. -
Final Notice 2022: GAM International Management Limited [pdf]
The Final Notice refers to breaches of PRIN 2 and 8 related to the management of conflicts of interest in the asset management sector. We imposed a financial penalty. -
Decision Notice 2024: Demetrios Christos Hadjigeorgiou [pdf]
This Decision Notice (Demetrios Christos Hadjigeorgiou) refers to breaches of PRIN 1 and PRIN 6 related to failing to act with integrity and to failing to exercise due care, skill and diligence in the pensions sector. Our view is that a financial -
Decision Notice 2024: David John Alexander Stephen [pdf]
This Decision Notice (David John Alexander Stephen) refers to breaches of PRIN 1 and PRIN 6 related to failing to act with integrity and to failing to exercise due care, skill and diligence in the pensions sector. Our view is that a financial -
Final Notice 2018: Rose Motors (Philip Meyer trading as) [pdf]
The final notice refers to breaches of Principle 11 and SUP related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation. -
FCA Decision Notice 2013: Timothy Alan Roberts [pdf]
This decision notice refers to breaches of PRIN 1 and PRIN 6 related to financial promotions and unfair treatment of customers in the investment advisers and platforms sector. Our view is that a fine and a prohibition should be imposed. -
FCA Decision Notice 2016: Michael Wilkinson trading as Michael Wilkinson Mortgages [pdf]
This decision notice refers to breaches of PRIN 4, PRIN 11, COND, MIPRU and SUP related to failing to be open and co-operative and threshold conditions in the regulated home finance sector. Our view is that a cancellation should be imposed.