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Showing 832 to 841 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. Final Notice 2015: Noraminvest UK Limited [pdf]

    Final notices Published: 12/05/2015 Last modified: 12/05/2015
    This final notice refers to breaches of principle 11 and TC related to threshold conditions and failing to be open and co-operative in the investment advisor sector. We imposed a cancellation.

  3. Final notice 2016: Treviso Coffee Co Limited [pdf]

    Final notices Published: 03/03/2016 Last modified: 03/03/2016
    This final notice refers to breaches of Principle 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  4. Final notice 2016: Good Motors Limited [pdf]

    Final notices Published: 03/03/2016 Last modified: 03/03/2016
    This final notice refers to breaches of Principle 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  5. Final notice 2016: Solutions on Call Limited [pdf]

    Final notices Published: 21/01/2016 Last modified: 21/01/2016
    This final notice refers to breaches of Principle 11 related to Threshold Conditions and failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  6. Final Notice 2015: Focus Wealth Management LLP [pdf]

    Final notices Published: 14/04/2015 Last modified: 14/04/2015
    This final notice refers to breaches of Principle 11 and TC related to threshold conditions, failing to be open and co-operative in the investment advisor sector. We imposed a cancellation.

  7. Final Notice 2021: Lloyds Bank General Insurance Limited, St Andrew’s Insurance Plc, Lloyds Bank Insurance Services Limited and Halifax General Insurance Services Limited [pdf]

    Final notices Published: 08/07/2021
    This Final Notice (Lloyds Bank General Insurance Limited, St Andrew’s Insurance Plc, Lloyds Bank Insurance Services Limited and Halifax General Insurance Services Limited) refers to breaches of PRIN 3 and PRIN 7 related to communications with

  8. Final Notice 2015: Andrew Baxter trading as Wealth Management [pdf]

    Final notices Published: 05/02/2015 Last modified: 06/02/2015
    This final notice refers to breaches of Principle 11 / COND related to threshold conditions and failing to be open and co-operative in the investment advisor sector. We imposed a cancellation.

  9. First Supervisory Notice 2022: Pello Capital Limited [pdf]

    Supervisory notices Published: 21/12/2022 Last modified: 23/12/2022
    This First Supervisory Notice refers to breaches of Prin 3, 4 and 11 related to failing demonstrate that Pello Capital Limited has adequate and appropriate systems and controls to effectively manage risks. Failing to maintain adequate financial

  10. Primary Market Bulletin 42

    Newsletters Published: 12/12/2022 Last modified: 12/12/2022
    In this edition we cover areas including climate related disclosures, the National Security and Investment Act, unlawful disclosure by Sir Christopher Gent and rules and guidance for cash shells and SPACS on reverse takeovers.

  11. Consumer investments data review 2020

    Data Published: 18/01/2021 Last modified: 13/06/2023
    A summary of the FCA's work to tackle consumer harm in the investment market, between 1 January and 31 October 2020.
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