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Showing 1221 to 1230 of 1281 search results for final notice refers to breaches of COND and PRIN.
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Final Notice 2016: Southern Trade Centre Limited (In Liquidation) [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. -
FCA Final Notice 2014: Chase de Vere Independent Financial Advisers Limited (formerly AWD Chase de Vere Limited) [pdf]
This final notice refers to breaches of PRIN 3, PRIN 7, SYSC, and COBS related to mis-selling in the investment adviser sector. We imposed a redress. -
Final Notice 2024: Citigroup Global Markets Limited [pdf]
This Final Notice refers to breaches of PRIN 2 and 3, and MAR 7A 3.2 related to wholesale conduct in the investment bank sector. We imposed a fine. -
Final Notice 2017: Oakham Mills Motor Company Limited [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: Helping Young People Excel Limited [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: Mueller Precious Metal Trading LLP [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the investment adviser sector. We imposed a cancellation. -
Final Notice 2018: Marcel Rochester [pdf]
This final notice (Marcel Rochester) refers to breaches of Principle 11 and SUP related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation. -
Final Notice 2017: Alistair Charles Proctor [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 2018: Marcus Gray t/a aj motors [pdf]
This final notice (Marcus Gray t/a aj motors) 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 2018: CMAS Financial Services Limited [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.