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Showing 641 to 650 of 1281 search results for final notice refers to breaches of COND and PRIN.

  1. Final Notice 2019: Empire Motors (Assim Zafar trading as) [pdf]

    Final notices Published: 02/10/2019
    This final notice (Empire Motors (Assim Zafar 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 cancellation

  2. Final Notice 2017: Gary Drury [pdf]

    Final notices Published: 17/05/2017
    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.

  3. Final Notice 2017: John Green [pdf]

    Final notices Published: 02/02/2017
    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.

  4. Final Notice 2024: Inspirational Financial Management Ltd (in administration) [pdf]

    Final notices Published: 11/03/2024
    This Final Notice (Inspirational Financial Management Ltd (in administration)) refers to breaches of Principles 3, 6 and 9 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We imposed a financial

  5. FCA Final Notice 2014: Andrew Barlas [pdf]

    Final notices Published: 24/09/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 1 related to mortgage fraud in the mortgages sector. We imposed a public censure.

  6. Final Notice 2017: Ashby Sales [pdf]

    Final notices Published: 02/05/2017
    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.

  7. Final Notice 2021: Credit Suisse International, Credit Suisse Securities (Europe) Ltd, and Credit Suisse AG [pdf]

    Final notices Published: 19/10/2021
    This Final Notice refers to breaches of Prin 2 and Prin 3 related to financial crime and anti-bribery and corruption failings in the investment banking sector. We imposed a financial penalty

  8. FCA Final Notice 2014: HomeServe Membership Limited [pdf]

    Final notices Published: 13/02/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 3, PRIN 6 and PRIN 7 related to mis-selling, complaints-handling, unfair treatment of customers, and remuneration in the general insurance and protection sector. We imposed a fine.

  9. Final notice 2016: Jawad Khan [pdf]

    Final notices Published: 25/02/2016 Last modified: 25/02/2016
    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.

  10. Final Notice 2016: Iain Strang [pdf]

    Final notices Published: 25/11/2016
    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.
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