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Showing 131 to 140 of 1538 search results for final notice refers to breaches of the Conduct.
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Final Notice 2021: Fairstern Ltd [pdf]
This final notice (Fairstern Ltd) 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. -
Final Notice 2022: Henderson Carter Associates Limited [pdf]
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. -
Final Notice 2024: Igniter Pay UK Limited [pdf]
This Final Notice refers to a failure to carry on payment service activities. We imposed a cancellation. -
Final Notice 2023: C2 Motor Group Ltd [pdf]
This Final Notice (C2 Motor Group Ltd) refers to a failure to satisfy the threshold conditions (COND) in the consumer credit sector. We refused the firm’s application for authorisation. -
Final Notice 2023: Motoring World Ltd [pdf]
This final notice (Motoring World Ltd) 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. -
Final Notice 2021: Credit Suisse International, Credit Suisse Securities (Europe) Ltd, and Credit Suisse AG [pdf]
This Final Notice refers to breaches of Prin 2 and Prin 3 related to financial crime and anti-bribery and corruption failings in the investment banking sector. We imposed a financial penalty -
Final Notice 2023: Columbus Legal Limited [pdf]
This Final Notice 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 General Insurance and investment adviser sector. We imposed a cancellation. -
Final Notice 2023: Ovi Motors Ltd [pdf]
This Final Notice (Ovi Motors Ltd) 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. -
Final notice 2019: Tullett Prebon (Europe) Limited [pdf]
This final notice (Tullett Prebon (Europe) Limited) refers to breaches of PRIN 2, PRIN 3 and PRIN 11 related to wholesale conduct and failing to be open and co-operative in the trading firm sector. We imposed a financial penalty. -
Final Notice 2021: David Nicholas King [pdf]
This Final Notice (David Nicholas King) refers to FIT relating to a lack of honesty and integrity in the investment advisory sector. We imposed a prohibition.