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Showing 192 to 201 of 696 search results for final notice refers to breaches of COND and PRIN 11 related.

  1. Financial Services Register

    To look up details of firms, use The Financial Services Register. The register is a public record that shows details of firms, individuals and other bodies that are, or have been, regulated by the Prudential Regulation Authority (PRA) and/or the Financial Conduct Authority (FCA).

  2. Final Notice 2019: Potters’ Music Shop (Croydon) Limited [pdf]

    Final notices Published: 25/07/2019
    This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in

  3. Final Notice 2020: Nicholas Anderton [pdf]

    Final notices Published: 21/05/2020
    This final notice (Nicholas Anderton) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

  4. Final Notice 2022: Julius Baer International Limited [pdf]

    Final notices Published: 30/11/2022
    This Final Notice refers to breaches of PRIN 1, PRIN 3 and PRIN 11 related to failing to act with integrity, governance and failing to be open and co-operative in the in the Wealth Management and Private Banking sector. We imposed a financial penalty

  5. Final Notice 2020: Jarnail Singh Basran [pdf]

    Final notices Published: 21/05/2020
    This final notice (Jarnail Singh Basran) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

  6. Final Notice 2020: Kirt Blackburn [pdf]

    Final notices Published: 05/05/2020
    This final notice (Kirt Blackburn) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  7. Final notice 2016: R Sadler [pdf]

    Final notices Published: 12/05/2016 Last modified: 12/05/2016
    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.

  8. FCA Final Notice 2013: JPMorgan Chase Bank, N.A. [pdf]

    Final notices Published: 19/09/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 2, PRIN 3, PRIN 5, and PRIN 11 related to wholesale conduct, market protection, and failing to be open and co-operative in the investment banks sector. We imposed a fine.

  9. FCA Final Notice 2013: Minona LLP [pdf]

    Final notices Published: 02/07/2013 Last modified: 07/04/2015
    This Final Notice refers to breaches of PRIN 11 related to threshold conditions in the asset management sector. We imposed a cancellation.

  10. FCA Final Notice 2013: Foneshield (UK) Limited [pdf]

    Final notices Published: 26/07/2013 Last modified: 07/04/2015
    This Final Notice refers to breaches of PRIN 11 related to threshold conditions in the general insurance and protection sector. We imposed a cancellation.

  11. Final notice 2016: Ashbank Cars [pdf]

    Final notices Published: 02/06/2016 Last modified: 02/06/2016
    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.