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Showing 591 to 600 of 1281 search results for final notice refers to breaches of COND and PRIN.

591. Final Notice 2019: Scottish Air Systems (Craig Drummond trading as) [pdf]

     Final notices Published: 31/01/2019
     This final notice (Scottish Air Systems Craig Drummond 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 imposed a

592. Final Notice 2015: Aviva Investors Global Services Limited [pdf]

     Final notices Published: 24/02/2015 Last modified: 24/02/2015
     This final notice refers to breaches of PRIN 3, PRIN 8 and COBS related to unfair treatment of customers, conflicts of interest and culture / governance in the Asset management sector. We imposed a fine.

593. Final Notice 2020: Kirt Blackburn [pdf]

     Final notices Published: 05/05/2020
     This final notice (Kirt Blackburn) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

594. Final Notice 2021: Integer Vehicle Solutions LTD [pdf]

     Final notices Published: 29/11/2021
     This final notice (Integer Vehicle Solutions LTD) refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative with the regulator (PRIN 11) in the claims management sector. We refused the firm’s application for

595. Final Notice 2022: Empire Motor Group Ltd [pdf]

     Final notices Published: 06/10/2022
     This final notice (Empire Motor Group Ltd) refers to a failure to satisfy threshold conditions (COND) in the credit broking sector. We refused the firm’s application for authorisation.

596. Final Notice 2021: Hewden Stuart Limited [pdf]

     Final notices Published: 14/04/2021
     This final notice (Hewden Stuart Limited) refers to a failure to satisfy the effective supervision threshold condition (COND) in the consumer credit sector. We imposed a cancellation.

597. Final Notice 2023: Giovanni Automobili ltd [pdf]

     Final notices Published: 28/06/2023
     Final notice issued against Giovanni Automobili ltd.

598. Final Notice 2021: Active Claims (UK) Ltd [pdf]

     Final notices Published: 16/09/2021
     This final notice refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative with the regulator in the claims management sector. We refused the firm’s application for authorisation.

599. Final Notice 2020: Jarnail Singh Basran [pdf]

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

600. FCA Final Notice 2013: Xcap Securities PLC [pdf]

     Final notices Published: 11/06/2013 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 3, PRIN 10 related to client money/assets in the trading firms sector. We imposed a fine.