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Showing 761 to 770 of 1210 search results for This final notice refers to breaches of PRIN 3 related.

  1. Final Notice 2021: Skandar Services Limited [pdf]

    Final notices Published: 27/01/2021
    This final notice (Skandar Services 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 Investment advisory sector, General Insurance and Protection

  2. Final Notice 2021: Today Car 24 Limited [pdf]

    Final notices Published: 04/03/2021
    This final notice (Today Car 24 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.

  3. Final Notice 2021: Race 2 Off-road Ltd [pdf]

    Final notices Published: 10/02/2021
    This final notice (Race 2 Off-road 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

  4. Final Notice 2020: Total Construction Training Ltd [pdf]

    Final notices Published: 14/12/2020
    This final notice (Total Construction Training 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.

  5. FCA Decision Notice 2013: Timothy Alan Roberts [pdf]

    Decision notices Published: 04/10/2013 Last modified: 04/06/2015
    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.

  6. Final Notice 2023: Kingsbridge Capital Advisors Limited [pdf]

    Final notices Published: 25/05/2023
    This Final Notice (Kingsbridge Capital Advisors 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 investment adviser sector. We imposed a

  7. Final Notice 2018: One Call Insurance Services Limited [pdf]

    Final notices Published: 30/08/2018
    This final notice refers to breaches of PRIN 10 and CASS relating to client money/assets in the general insurance and protection sector. We imposed a fine and restriction.

  8. Final Notice 2022: L B Commercials Limited [pdf]

    Final notices Published: 04/02/2022
    This Final Notice (L B Commercials 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.

  9. Final notice 2019: The Prudential Assurance Company Limited [pdf]

    Final notices Published: 30/09/2019
    This Final Notice (The Prudential Assurance Company Limited) refers to breaches of PRIN 3 and PRIN 6 and relates to mis-selling and the unfair treatment of customers in the pensions sector. We imposed a fine.

  10. Final Notice 2021: Stanic Motor Co Limited [pdf]

    Final notices Published: 02/08/2021
    This final notice (Stanic Motor Co 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.