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Showing 732 to 741 of 849 search results for final notice refers to breaches of 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. FCA Final Notice 2013: Gurpreet Singh Chadda [pdf]

    Final notices Published: 19/06/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 1 related to lack of fitness/propriety, failing to be open and co-operative and unfair treatment of customers in the sale and rent back sector. We imposed a fine and prohibition.

  3. Final Notice 2022: Lyonnaise De Banque [pdf]

    Final notices Published: 21/12/2022
    This final notice (Lyonnaise De Banque) refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative (PRIN 11) in relation to a firm within the TPR. We imposed a cancellation.

  4. FCA Final Notice 2013: SEI Investments (Europe) Limited ("SEI") [pdf]

    Final notices Published: 26/11/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 10 and CASS related to client money in the asset management sector. We imposed a financial penalty.

  5. FCA Final Notice 2013: Guaranty Trust Bank (UK) Limited [pdf]

    Final notices Published: 08/08/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 3 related to financial crime in the retail banks sector. We imposed a fine.

  6. FCA Final Notice 2014: Barclays Bank PLC - September 2014 [pdf]

    Final notices Published: 23/09/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 3, PRIN 10, and CASS related to client money/assets in the investment banks sector. We imposed a fine.

  7. Final Notice 2022: Naveed Hussain (trading as Star Motors) [pdf]

    Final notices Published: 29/11/2022
    This Final Notice (Naveed Hussain (trading as Star Motors)) 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

  8. Final Notice 2022: Maitiu Donnelly (trading as Alta Autos) [pdf]

    Final notices Published: 29/11/2022
    This Final Notice (Maitiu Donnelly (trading as Alta Autos)) 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

  9. Final Notice 2021: Donna Worsfold [pdf]

    Final notices Published: 02/12/2021
    This final notice refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative (PRIN 11) in the credit broking sector. We refused the firm’s application for authorisation.

  10. Final Notice 2022: Henderson Carter Associates Limited [pdf]

    Final notices Published: 17/05/2022
    This Final Notice (Henderson Carter Associates Limited) refers to breaches of PRIN 1 and Section 20 FSMA related to mis-selling and failing to be open and co-operative in the investment adviser and pensions sector. We imposed a public censure.

  11. Final Notice 2023: Lee Elrick (Trading as Autopoint Aberdeen) [pdf]

    Final notices Published: 27/07/2023
    This final notice (Lee Elrick (Trading as Autopoint Aberdeen)) 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
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