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Showing 151 to 160 of 1269 search results for This final notice refers to breaches of PSR.

  1. Final Notice 2023: Susan Mary Jones [pdf]

    Final notices Published: 27/11/2023
    This Final Notice refers to breaches of Principles for Business 2 related to the provision of unsuitable pension transfer advice in the pensions sector. We imposed a partial prohibition. A payment of £40,888 is being made to the FSCS.

  2. Final Notice 2022: Bellamachina Ltd [pdf]

    Final notices Published: 20/12/2022 Last modified: 01/03/2023
    This final notice refers to a failure to satisfy the suitability threshold condition (COND).

  3. Final Notice 2020: Goldman Sachs International (GSI) [pdf]

    Final notices Published: 22/10/2020 Last modified: 22/10/2020
    This Final Notice refers to breaches of PRIN 2 and PRIN 3 related to wholesale conduct in the investment bank sector. We imposed a financial penalty.

  4. Final notice 2016: Naimat Gul [pdf]

    Final notices Published: 22/08/2016
    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.

  5. Final Notice 2017: M V Autos [pdf]

    Final notices Published: 23/06/2017
    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.

  6. Final Notice 2022: Grahams Cars [pdf]

    Final notices Published: 25/11/2022
    This final notice (Grahams Cars) refers to a failure to satisfy the Effective Supervision Threshold Condition (COND) due to the Authority having no means by which it can communicate with the firm. Therefore, we imposed a cancellation.

  7. Final Notice 2022: E.A. McCarroll [pdf]

    Final notices Published: 29/09/2022
    This Final Notice (E.A. McCarroll) 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.

  8. FCA Final Notice 2013: Coöperatieve Centrale Raiffeisen–Boerenleenbank B.A. (Rabobank) [pdf]

    Final notices Published: 29/10/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 2, PRIN 3, and PRIN 5 related to benchmarks in the investment banks sector. We imposed a fine.

  9. FCA Final Notice 2013: Minona 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.

  10. FCA Final Notice 2013: Foneshield (UK) Limited [pdf]

    Final notices Published: 26/07/2013 Last modified: 07/04/2015
    This Final Notice refers to breaches of PRIN 11 related to threshold conditions in the general insurance and protection sector. We imposed a cancellation.
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