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Showing 1121 to 1130 of 2139 search results for final notice refers to breaches.
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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 2020: Fab Cars Norwich Ltd [pdf]
This final notice (Fab Cars Norwich Ltd) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation. -
Final Notice 2018: Darren Colvin Cummings [pdf]
This FCA final notice (Darren Colvin Cummings) refers to breaches of APER 1 and FIT relating to a lack of fitness and/propriety in the general insurance and mediation sector. We imposed a fine and prohibition. -
Final Notice 2021: Transfer Gurus Ltd [pdf]
This final notice (Transfer Gurus Ltd) refers to a failure to demonstrate a willingness to comply with regulatory obligations, and to deal with the Authority in an open and co-operative way in the payment services sector. In order to protect the -
Final Notice 2023: Stanley Moore Motors Ltd [pdf]
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. -
Final Notice 2018: Santander UK plc [pdf]
This final notice (Santander UK plc) refers to breaches of PRIN 3, PRIN 6 and PRIN 11 related to governance, unfair treatment of customers, failing to act on information appropriately and failing to be open and co-operative in the retail bank sector. -
Final Notice 2019: Goldman Sachs International [pdf]
This final notice (Goldman Sachs International) refers to breaches of SUP 17, SUP 15 and PRIN 3 related to transaction reporting failures in the investment bank sector. We imposed a fine. -
Final Notice 2022: Leigh Sutcliffe (trading as AVS) [pdf]
This Final Notice (Leigh Sutcliffe (trading as AVS)) 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. -
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 2020: Clacton Car Sales Ltd [pdf]
This final notice (Clacton Car Sales Ltd) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.