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Showing 631 to 640 of 1719 search results for final notice refers to breaches of COND.

631. Final Notice 2022: Hugh Edwards [pdf]

     Final notices Published: 28/04/2022
     This Final Notice (Hugh Edwards) refers to breaches of FIT. We imposed a prohibition.

632. Final Notice 2022: Esfera Capital, Agencia de Valores, S.A. [pdf]

     Final notices Published: 18/01/2022
     This Final Notice (Esfera Capital) refers to a failure to satisfy the effective supervision and suitability threshold conditions (COND) and to be open and co-operative with the Authority (PRIN 11) in relation to a firm within the TPR. We imposed a

633. Final Notice 2017: Keep Sheffield Warm [pdf]

     Final notices Published: 06/10/2017
     This final notice refers to breaches of PRIN 11 related to failing to be

634. Final Notice 2021: Day DV Limited [pdf]

     Final notices Published: 31/03/2021
     This final notice (Day DV 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.

635. Final Notice 2018: Independent Portfolio Managers Limited [pdf]

     Final notices Published: 03/07/2018
     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 investment advisory sector, mortgage lenders and intermediaries sector and consumer

636. Final notice 2016: Cenkos Securities Plc [pdf]

     Final notices Published: 09/08/2016 Last modified: 09/08/2016
     This final notice refers to listing rules breaches in the sponsor sector. We imposed a fine.

637. Final Notice 2022: Simon Tyson [pdf]

     Final notices Published: 06/10/2022
     This Final Notice (Simon Tyson) refers to breaches of APER 7 related to the failure to ensure compliance with PRIN 3 in the trading firms sector, which led to further breaches of SUP 17, SUP 15 and Article 16 of MAR. We imposed a financial penalty

638. Final Notice 2019: Bicycle Doctor (South Wales) Ltd [pdf]

     Final notices Published: 01/05/2019
     This final notice (Bicycle Doctor (South Wales) 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.

639. Final Notice 2022: Jeanine Lewis [pdf]

     Final notices Published: 28/04/2022
     This Final Notice ( Jeanine Lewis) refers to breaches of FIT. We imposed a prohibition.

640. Final Notice 2020: Barclays [pdf]

     Final notices Published: 15/12/2020
     This Final Notice (Barclays) refers to breaches of PRIN 6, PRIN 3, and CONC related to unfair treatment of customers in the Retail Banking sector. We imposed a financial penalty.