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Showing 21 to 30 of 1277 search results for final notice refers to breaches of COND and PRIN.
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Final notice 2016: Pacific Continental Securities (UK) Limited (In Liquidation) [pdf]
This final notice refers to breaches of Prin 4, Cond and IPRU-INV related to threshold conditions in the investment advisor sector. We imposed a cancellation. -
Final notice 2016: Glyn Goodyear [pdf]
This final notice refers to breaches of PRIN 6, PRIN 11, COND and DISP related to failing to be open and co-operative, unfair treatment of customers and threshold conditions in the consumer credit sector. We imposed a cancellation. -
Final Notice: Wingfield Financial Heritage Limited [pdf]
This final notice refers to breaches PRIN 11 and COND related to failing to be open and co-operative in the consumer credit sector. We imposed a refusal. -
Final Notice 2017: Michael Wilkinson Mortgages (trading as Michael Wilkinson) [pdf]
This final notice refers to breaches of PRIN 4, PRIN 11, SUP, MIPRU and COND related to failing to be open and co-operative and threshold conditions in the general insurance and protection and mortgages sector. We imposed a cancellation. -
Final Notice 2017: GZ Energy Solutions Limited [pdf]
This final notice refers to breaches of PRIN 11 and COND related to failing to be open and co-operative in the consumer credit sector. We imposed a refusal. -
Final notice 2016: Mr Adam Harris trading as BM Motors [pdf]
This final notice refers to breaches of PRIN 11 and COND related to failing to be open and co-operative in the consumer credit sector. We imposed a refusal. -
Final notice 2016: FJ Autos 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 2016: Mr Kevin Clarke [pdf]
This final notice refers to breaches of PRIN 11 and COND related to failing to be open and co-operative and a lack of fitness/propriety in the consumer credit sector. We imposed a refusal. -
FCA Final Notice 2015: Highview Financial Services Limited [pdf]
This Final Notice refers to breaches of PRIN 6, PRIN 11, COND, DISP related to Threshold Conditions in the Consumer Credit sector. We imposed a cancellation. -
Final Notice 2017: Seclo Limited [pdf]
This final notice refers to breaches of PRIN 11 and COND related to failing to be open and co-operative in the consumer credit sector. We imposed a refusal.