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Showing 811 to 820 of 1210 search results for This final notice refers to breaches of PRIN 3 related.
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Final Notice 2021: Abacus Management Ltd [pdf]
This final notice (Abacus Management Ltd) 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 -
Final Notice 2021: Accident & Injury Assist [pdf]
This final notice (Accident & Injury Assist) 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 -
Final Notice 2022: Wakefield Motor House Ltd [pdf]
This final notice (Wakefield Motor House Ltd) 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. -
Final Notice: Interactive Brokers (UK) Limited [pdf]
This final notice refers to breaches of PRIN 3 and SUP 15.10.2R relating to poor market abuse controls and failure to report suspicious client transactions. We imposed a fine. -
Final Notice 2023: Philip Frederick Edwards (trading as Pe Cctv Direct) [pdf]
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 -
Final Notice 2022: Eternal Peace Funeral Plans [pdf]
This final notice (Eternal Peace Funeral Plans Ltd) refers to a failure to satisfy threshold conditions (COND) in relation to a firm within the Funeral Plans sector. We refused the firm’s application for authorisation. -
Final Notice 2022: Kevin Peter Inwood (trading as Black Dog Motorcycles) [pdf]
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 -
Final Notice 2015: The Co-operative Bank plc [pdf]
This final notice refers to breaches of Listing rules, for making false and misleading statements, and PRIN 11 for failing to be open and co-operative, by Co-operative Bank, a bank in the retail and commercial banking sector. -
Decision Notice 2023: Banque Havilland SA [pdf]
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. -
FCA Final Notice 2013: Martin Peter Gwynn [pdf]
This final notice refers to breaches of FIT related to