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Showing 561 to 570 of 1281 search results for final notice refers to breaches of COND and PRIN.

  1. Final Notice 2022: Julius Baer International Limited [pdf]

    Final notices Published: 30/11/2022
    This Final Notice refers to breaches of PRIN 1, PRIN 3 and PRIN 11 related to failing to act with integrity, governance and failing to be open and co-operative in the in the Wealth Management and Private Banking sector. We imposed a financial penalty

  2. Final Notice 2022: Capital Investements Limited [pdf]

    Final notices Published: 19/01/2022
    This final notice refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative (PRIN 11) in the claims management sector. We refused the firm’s application for authorisation.

  3. FCA Final Notice 2014: State Street [pdf]

    Final notices Published: 31/01/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 6 and PRIN 7 related to wholesale conduct, unfair treatment of customers in the investment banks sector. We imposed a fine.

  4. FCA Final Notice 2014: GS Cars (UK) Limited [pdf]

    Final notices Published: 28/08/2014 Last modified: 07/04/2015
    This final notice refers to breaches of COND related to lack of fitness/propriety in the consumer credit sector. We imposed a refusal.

  5. Final Notice 2022: Mayfair Jewellers Ltd [pdf]

    Final notices Published: 04/02/2022
    This Final Notice (Mayfair Jewellers Ltd) refers to a failure to satisfy the suitability threshold conditions (COND) and to be open and co-operative with the Authority (PRIN 11) in the Consumer Credit sector. We imposed a cancellation

  6. Final Notice 2019: Top Car Leasing Limited [pdf]

    Final notices Published: 27/02/2019
    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 consumer credit sector. We imposed a cancellation.

  7. Final Notice 2020: Nicholas Anderton [pdf]

    Final notices Published: 21/05/2020
    This final notice (Nicholas Anderton) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

  8. Final Notice 2019: Paul Dennison (Yes Car Contracts trading as) [pdf]

    Final notices Published: 23/04/2019
    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 consumer credit sector. We imposed a cancellation.

  9. Final notice 2020: Waterside Classics Limited [pdf]

    Final notices Published: 09/07/2020
    This final notice (Waterside Classics 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 Investment advisory sector. We imposed a cancellation.

  10. FCA Final Notice 2013: Sesame Limited [pdf]

    Final notices Published: 05/06/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 3 and PRIN 9 related to mis-selling, and appointed representatives in the investment advisers and platforms sector. We imposed a fine.
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