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Showing 601 to 610 of 1281 search results for final notice refers to breaches of COND and PRIN.

  1. Final Notice 2015: B E Insulated Limited [pdf]

    Final notices Published: 04/09/2015 Last modified: 04/09/2015
    This final notice refers to breaches of COND and CONC related to failing to be open and co-operative in the Consumer Credit sector. We imposed a refusal.

  2. Final Notice 2018: Johnny Oxley [pdf]

    Final notices Published: 25/04/2018
    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.

  3. Final Notice 2022: Gosforth Car Centre Limited [pdf]

    Final notices Published: 21/09/2022
    This final notice (Gosforth Car Centre Limited) refers to a failure to satisfy threshold conditions (COND) in the credit broking sector. We refused the firm’s application for authorisation.

  4. Final Notice 2022: Barclays Bank plc [pdf]

    Final notices Published: 28/02/2022
    This Final Notice (Barlclays Bank plc) refers to breaches of PRIN 2 related to financial crime in the corporate banking sector. We imposed a financial penalty.

  5. FCA Final Notice 2014: Barclays Bank PLC [pdf]

    Final notices Published: 23/05/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 3 and PRIN 8 related to benchmarks and conflicts of interest in the investment banks sector. We imposed a fine.

  6. Final Notice 2018: Mintos Marketplace Limited [pdf]

    Final notices Published: 18/12/2018
    This final notice (Mintos Marketplace Limited) refers to breaches of COND related to Threshold conditions in the consumer credit sector. We imposed a refusal.

  7. FCA Final Notice 2013: ICAP Europe Ltd [pdf]

    Final notices Published: 25/09/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 3 and PRIN 5 related to wholesale conduct, benchmarks, and culture/governance in the trading firms sector. We imposed a fine.

  8. Final Notice 2022: Twist and Scoot Ltd [pdf]

    Final notices Published: 14/04/2022
    This final notice refers to a failure to satisfy threshold conditions (COND) in the credit broking sector. We refused the firm’s application for authorisation.

  9. Final Notice 2018: Kenneth Brown [pdf]

    Final notices Published: 11/01/2018
    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.

  10. FCA Final Notice 2014: RSA Mortgage Services [pdf]

    Final notices Published: 14/08/2014 Last modified: 07/04/2015
    This final notice refers to breaches of COND related to financial crime, client money/assets, failing to be open and co-operative, and lack of fitness/propriety in the mortgages sector. We imposed a withdrawal.
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