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Showing 581 to 590 of 1209 search results for final notice refers to breaches of COND related.

581. Final notice 2016: Dual Mortgage Brokers [pdf]

     Final notices Published: 29/06/2016 Last modified: 29/06/2016
     This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative and threshold conditions in the general insurance and protection sector. We imposed a cancellation.

582. FCA Final Notice 2013: Paul David Cable [pdf]

     Final notices Published: 19/07/2013 Last modified: 19/05/2015
     This final notice refers to breaches of PRIN 1 related to lack of fitness/propriety in the general insurance and protection sector. We imposed a fine and a prohibition.

583. Final Notice 2018: Barot Bros (Bhupatsinh Barot trading as) [pdf]

     Final notices Published: 21/09/2018
     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.

584. Final notice 2016: EVS Trading Limited [pdf]

     Final notices Published: 27/01/2016 Last modified: 27/01/2016
     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.

585. Final Notice 2018: Christian Bittar [pdf]

     Final notices Published: 14/09/2018
     This final notice refers to knowing concern in breaches of Principle 5 related to benchmark submissions. We imposed a prohibition.

586. Final Notice 2019: Minstrel Ltd [pdf]

     Final notices Published: 16/10/2019
     This final notice (Minstrel Ltd) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

587. FCA Final Notice 2013: John Patrick Morris [pdf]

     Final notices Published: 15/08/2013 Last modified: 07/04/2015
     This final notice refers to breaches of TC related to threshold conditions in the general insurance and protection sector. We imposed a OIVOP and cancellation.

588. Final Notice 2018: David Lloyd [pdf]

     Final notices Published: 08/05/2018
     This final notice (David Lloyd) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

589. Final Notice 2017: Deutsche Bank [pdf]

     Final notices Published: 31/01/2017
     This final notice refers to breaches of PRIN 3 and SYSC related to culture/governance and financial crime in the investment bank sector. We imposed a fine.

590. Final Notice 2020: Carl Brookes [pdf]

     Final notices Published: 30/09/2020 Last modified: 30/09/2020
     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.