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Showing 211 to 220 of 311 search results for final notice refers to breaches of COND related to Threshold.

  1. FCA Final Notice 2014: RSA Mortgage Services [pdf]

    Final notices Published: 14/08/2014 Last modified: 07/04/2015
    This final notice refers to breaches of COND related to financial crime, client money/assets, failing to be open and co-operative, and lack of fitness/propriety in the mortgages sector. We imposed a withdrawal.

  2. Final Notice 2015: Oracle Financial Planning [pdf]

    Final notices Published: 02/07/2015 Last modified: 02/07/2015
    This final notice refers to breaches of Threshold Conditions and PRIN 11 related to failing to be open and co-operative in the general insurance intermediary sector. We imposed a cancellation.

  3. FCA Final Notice 2013: Praetor Capital 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.

  4. Final Notice 2015: EDS Insure Limited [pdf]

    Final notices Published: 25/06/2015 Last modified: 25/06/2015
    This final notice refers to breaches of PRIN 11 related to threshold conditions in the general insurance and protection sector. We imposed a cancellation.

  5. FCA Final Notice 2014: Drain Claim Limited [pdf]

    Final notices Published: 07/01/2014 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 cancellation.

  6. Final Notice 2015: Paul Christopher Ridden [pdf]

    Final notices Published: 18/02/2015 Last modified: 18/02/2015
    This final notice refers to breaches of FIT, related to threshold conditions in the consumer credit sector. We imposed a cancellation.

  7. FCA Final Notice 2013: Richards Wines and Levy Limited [pdf]

    Final notices Published: 06/08/2013 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 cancellation.

  8. Final notice 2016: Big Green Company (Energy) Limited [pdf]

    Final notices Published: 02/11/2016
    This final notice refers to breaches of PRIN 11 and COND related to failing to be open and co-operative in the consumer credit sector. We imposed a refusal.

  9. FCA Final Notice 2014: Mohammed Tazul Islam [pdf]

    Final notices Published: 23/09/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 11 related to threshold conditions in the mortgages sector. We imposed a cancellation.

  10. FCA Final Notice 2013: Hyde Gardens Limited [pdf]

    Final notices Published: 21/06/2013 Last modified: 07/04/2015
    This Final Notice refers to breaches of PRIN 11 related to threshold conditions in the investment advisors & platforms sector. We imposed a cancellation.