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Showing 751 to 760 of 1719 search results for final notice refers to breaches of COND.
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Final Notice 2020: Palace of Royals Furniture (Mr Ali Benomran trading as) [pdf]
This final notice (Palace of Royals Furniture (Mr Ali Benomran trading as)) 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 -
FCA Final Notice 2013: Coöperatieve Centrale Raiffeisen–Boerenleenbank B.A. (Rabobank) [pdf]
This final notice refers to breaches of PRIN 2, PRIN 3, and PRIN 5 related to benchmarks in the investment banks sector. We imposed a fine. -
Final Notice 2021: Sapien Capital Limited [pdf]
This Final Notice (Sapien Capital Limited) 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 2017: Parm Milap [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. -
Final Notice 2015: Michael Banks [pdf]
This final notice refers to breaches of TC related to threshold conditions in the consumer credit sector. We imposed a refusal. -
Final Notice 2017: Gary Drury [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation. -
Final Notice 2017: John Green [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation. -
Final Notice 2022: Thomas Henry Ward [pdf]
This Final Notice (Thomas Henry Ward) refers to breaches of section 63A FSMA and FIT related to a lack of fitness/propriety in the investment adviser and pensions sector. We imposed a prohibition and financial penalty. -
FCA Final Notice 2014: Andrew Barlas [pdf]
This final notice refers to breaches of PRIN 1 related to mortgage fraud in the mortgages sector. We imposed a public censure. -
FCA Final Notice 2014: UBS AG [pdf]
This final notice refers to breaches of PRIN 3 related to wholesale conduct and benchmarks in the investment bank sector. We imposed a fine.