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Showing 831 to 840 of 1281 search results for final notice refers to breaches of COND and PRIN.
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Final notice 2020: SCI Group UK Limited [pdf]
This final notice (SCI Group UK Limited) refers to an applicant applying under section 55A of the Financial Services and Markets Act 2000 for Part 4A permission to carry on a regulated activity. The applicant failed to satisfy the Threshold -
Final Notice 2017: Charles Cook [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: John Richards [pdf]
This final notice (John Richards) 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: Montague Capital Limited [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: Kenneth Wills [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 2017: Jonathan David Lee [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 2017: Lyndon Alun Davies [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 2014: Derick Anthony Whewall [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 2016: Macba 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. -
FCA Final Notice 2013: JLT Specialty Limited [pdf]
This final notice refers to breaches of PRIN 3 related to financial crime in the general insurance and protection sector. We imposed a fine.