Search results
Showing 761 to 770 of 1281 search results for final notice refers to breaches of COND and PRIN.
-
Final notice 2016: Motoassist UK Limited [pdf]
This final notice refers to breaches of PRIN 11, failing to be open and co-operative in the consumer credit sector. We imposed a cancellation. -
Final notice 2016: PDHL Limited [pdf]
This final notice refers to numerous breaches of CONC Chapter 8 related to an inability to meet Threshold Condition 2D (appropriate non-financial resources) and 2E (Suitability) in the Consumer Credit: Debt Management sector. We imposed a refusal of -
Final Notice 2017: R Taggar [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. -
FCA Final Notice 2013: Praetor Capital LLP [pdf]
This Final Notice refers to breaches of PRIN 11 related to threshold conditions in the asset management sector. We imposed a cancellation. -
Final Notice 2017: HRS (Luton) Limited [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. -
Final Notice 2015: EDS Insure Limited [pdf]
This final notice refers to breaches of PRIN 11 related to threshold conditions in the general insurance and protection sector. We imposed a cancellation. -
Final Notice: Luke Andrew Mills [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 2023: LCUK Finance Ltd [pdf]
This final notice refers to a failure to be open and co-operative with the Authority PRIN 11. -
Final Notice 2016: Bathesafely Limited [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 2019: UBS AG [pdf]
This final notice (UBS AG) refers to breaches of SUP 17, SUP 15 and PRIN 3 related to transaction reporting failures in the investment bank sector. We imposed a fine.