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Showing 1441 to 1450 of 1719 search results for final notice refers to breaches of COND.
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Final Notice 2023: Bastion Capital London Limited [pdf]
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. -
Final Notice 2015: MGI Asset Management Limited [pdf]
This final notice refers to breaches of PRIN 11, related to threshold conditions and failing to be open and co-operative in the investment adviser sector. We imposed a cancellation. -
FCA Final Notice 2014: Catalyst Fund Management Limited [pdf]
This final notice refers to breaches of PRIN 11 related to threshold conditions in the investment advisor sector. We imposed a cancellation. -
Further Final Notice 2020: Robert Ian Shaw [pdf]
This Final Notice (Robert Ian Shaw) refers to breaches of APER 7 and FIT related to mis-selling, lack of fitness/propriety and conflicts of interest in the Investment Adviser and Pensions sector. We imposed a financial penalty, a prohibition and -
Final notice 2016: GB Financial Consultancy Limited [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative and threshold conditions in the general insurance and protection sector. We imposed a cancellation. -
Final Notice 2022: TSB Bank plc [pdf]
This Final Notice refers to breaches of Prin 2 related to failing to exercise due skill, care and diligence and Prin 3 for not taking reasonable care in organising and controlling its affairs responsibly and effectively, with adequate risk -
FCA Final Notice 2013: SEI Investments (Europe) Limited ("SEI") [pdf]
This final notice refers to breaches of PRIN 10 and CASS related to client money in the asset management sector. We imposed a financial penalty. -
FCA Final Notice 2013: Safe Reliable Services Limited [pdf]
This final notice refers to breaches of PSR related to failing to be open and co-operative in the payment systems sector. We imposed a cancellation. -
FCA Final Notice 2014: Usman International UK Limited [pdf]
This final notice refers to breaches of PSR related to failing to be open and co-operative in the payment systems sector. We imposed a cancellation. -
Final Notice 2017: AB Car Sales (Leeds) Ltd [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.