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Showing 1231 to 1240 of 1281 search results for final notice refers to breaches of COND and PRIN.
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Final Notice 2020: Lakes Plumbing & Heating Services Ltd [pdf]
This final notice (Lakes Plumbing & Heating Services 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 2016: Danmirr Capital 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 refusal of the firm's application to carry on the regulated activities of credit broking, deb adjusting and -
Final Notice 2017: Tolworth Motor Company (Surrey) 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 2019: Conwell Civil Engineering Limited [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. -
FCA Decision Notice 2016: KWS Wealth Management Limited [pdf]
This Final Notice refers to breaches of COND related to threshold conditions in the investment adviser sector. We imposed a cancellation. -
Final Notice 2017: Syphony Nominees Limited [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in the general insurance and protection sector. We imposed a cancellation. -
Final Notice 2017: Merrill Lynch International [pdf]
This final notice refers to breaches of PRIN 3 and Article 9 of EMIR relating to transaction reporting in the investment banking sector. We imposed a fine. -
Final Notice 2022: The TJM Partnership Limited (Formerly known as Neovision Global Capital Limited) (In Liquidation) [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: The Dental Plan Ltd [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit and general insurance and protection sectors. We imposed a cancellation. -
Final Notice 2018: Fabulous Flooring (South Yorkshire) Ltd [pdf]
This final notice (Fabulous Flooring (South Yorkshire) Ltd ) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.