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Showing 631 to 640 of 1281 search results for final notice refers to breaches of COND and PRIN.
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Final Notice 2017: Ian Foden [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 2020: PPI Tax Rebate Ltd, formerly carrying on business as Tax Back PPI Ltd and Helpful Law Ltd [pdf]
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. -
Final Notice 2015: Arch Financial Products LLP [pdf]
This final notice refers to breaches of PRIN 1, PRIN 3, PRIN 8, SYSC and COB related to conflicts of interests in the investment advisor sector. We imposed a public censure. -
Final notice 2020: Moneybarn Limited [pdf]
This final notice (Moneybarn Limited) refers to breaches of PRIN 6, PRIN 7 and the CONC rules related to the unfair treatment of customers in the consumer credit sector. We imposed a financial penalty. -
Final Notice 2015: Deutsche Bank AG [pdf]
This final notice refers to breaches of PRIN 5, PRIN 3 and PRIN 11 related to wholesale conduct, benchmarks, failing to be open and co-operative and culture/governance in the investment bank sector. We imposed a fine. -
Final Notice 2017: Parm Milap [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 Final Notice 2013: Policy Administration Services Limited [pdf]
This final notice refers to breaches of PRIN 3 and 6 related to complaints-handling, and the unfair treatment of customers in the general insurance and protection sector. We imposed a fine. -
Final Notice 2019: Potters’ Music Shop (Croydon) Limited [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in -
Final Notice 2022: Wolves Trade Centre Ltd [pdf]
This final notice (Wolves Trade Centre Ltd) refers to a failure to satisfy threshold conditions (COND) in the credit broking sector. We refused the firm’s application for authorisation. -
FCA Final Notice 2014: Ewan King [pdf]
This final notice refers to breaches of PRIN 1 related to lack of fitness/propriety in the investment adviser sector. We imposed a fine and a prohibition.