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Showing 1211 to 1220 of 1294 search results for final notice refers to breaches of MAR.
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Final Notice 2017: South Kintyre Credit Union Limited [pdf]
This final notice refers to breaches of Principle 11 related to failing to be open and co-operative in the credit union sector. We imposed a cancellation. -
Final Notice 2021: Hudson Bay Finance Company Ltd [pdf]
This final notice (Hudson Bay Finance Company Ltd) refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority PRIN 11 in the consumer credit sector. We imposed a cancellation -
Final Notice 2020: Lakes Plumbing & Heating Services Ltd [pdf]
This final notice (Lakes Plumbing & Heating Services Ltd) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation. -
FCA Decision Notice 2016: KWS Wealth Management Limited [pdf]
This Final Notice refers to breaches of COND related to threshold conditions in the investment adviser sector. We imposed a cancellation. -
Final Notice 2022: Trade Motor Sales and Repairs Ltd [pdf]
This final notice refers to a failure to satisfy threshold conditions (COND) in the credit broking sector. We refused the firm’s application for authorisation. -
Final Notice 2020: Red Tree Motor Company Limited [pdf]
This final notice (Red Tree Motor Company Limited) refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the consumer credit sector. We imposed a cancellation. -
Final Notice 2023: Andrew Michael Smith (trading as TRG Houghton) [pdf]
This Final Notice (Andrew Michael Smith (trading as TRG Houghton)) refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the Consumer Credit sector. We imposed a -
FCA Final Notice 2013: Lloyds TSB Bank plc and Bank of Scotland plc [pdf]
This final notice refers to breaches of PRIN 3 related to mis-selling, remuneration, and culture/governance in the retail banks sector. We imposed a fine. -
Final Notice 2018: CMAS Financial Services 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 2017: Tolworth Motor Company (Surrey) 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.