Filter results
Filter by document type
Filter by year
Sort by:

Search results

Showing 811 to 820 of 845 search results for final notice refers to breaches of PRIN 3 and PRIN 6 related.

  1. Final Notice 2022: Elite UK Claims [pdf]

    Final notices Published: 30/09/2022
    Final Notice 2022: Elite UK Claims. This final notice refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative (PRIN 11) in the Claims Management Company sector. We refused the firm’s application for authorisation

  2. Decision Notice 2018: One Call Insurance Services Limited [pdf]

    Decision notices Published: 26/01/2018
    This decision notice refers to breaches of PRIN 10 and CASS related to client money/assets in the general insurance and protection sector. Our view is that a fine and restriction should be imposed.

  3. Second Supervisory Notice 2020: Fortuna Wealth Management Limited [pdf]

    Supervisory notices Published: 18/02/2020
    This second supervisory notice refers to breaches of the supervision threshold conditions (COND) and to breaches of PRIN1 and PRIN11 related to lack of fitness/propriety and failing to be open and co-operative in the investment adviser sector. We

  4. Final Notice 2021: Claims 4U Ltd [pdf]

    Final notices Published: 30/07/2021
    This final notice (Claims 4U Ltd) refers to a failure to satisfy the threshold conditions (COND) and to be open and cooperative with the regulator (PRIN 11) in the claims management sector. We refused the firm’s application for authorisation.

  5. Final Notice 2021: Prestige First Ltd [pdf]

    Final notices Published: 16/08/2021
    This final notice refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative with the regulator (PRIN 11) in the claims management sector. We refused the firm’s application for authorisation.

  6. Final Notice 2022: Cars and Van Sales Ltd [pdf]

    Final notices Published: 23/11/2022
    This final notice (Cars and Van Sales Ltd) 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.

  7. Final Notice: Interactive Brokers (UK) Limited [pdf]

    Final notices Published: 25/01/2018
    This final notice refers to breaches of PRIN 3 and SUP 15.10.2R relating to poor market abuse controls and failure to report suspicious client transactions. We imposed a fine.

  8. Final Notice 2023: Mach 1 Sales Ltd [pdf]

    Final notices Published: 21/07/2023
    This final notice (Mach 1 Sales Ltd) refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative (PRIN 11). Adequate information was not provided in a timely manner despite several attempts to obtain a response. We

  9. Decision Notice: Henderson Carter Associates Limited (in liquidation) [pdf]

    Decision notices Published: 09/05/2019
    This decision notice (Henderson Carter Associates Limited (in liquidation)) 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. Our view is

  10. Final Notice 2023: First Class Blinds Belfast Limited (trading as First Class Blinds) [pdf]

    Final notices Published: 14/03/2023
    This final notice (First Class Blinds Belfast Limited (trading as First Class Blinds)) 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