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Showing 151 to 160 of 1715 search results for Final Notice refers to breaches of PRIN.

  1. Final Notice 2016: Pinks Agri Limited [pdf]

    Final notices Published: 05/12/2016
    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.

  2. FCA Final Notice 2014: HomeServe Membership Limited [pdf]

    Final notices Published: 13/02/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 3, PRIN 6 and PRIN 7 related to mis-selling, complaints-handling, unfair treatment of customers, and remuneration in the general insurance and protection sector. We imposed a fine.

  3. Final notice 2016: Coverall Worldwide Ltd [pdf]

    Final notices Published: 01/02/2016 Last modified: 01/02/2016
    This final notice refers to breaches of PRIN 1, PRIN 3, PRIN 10, CASS and COND related to appointed representatives, client money, failing to act on information appropriately, threshold conditions and unfair treatment of customers in the general

  4. FCA Final Notice 2013: Daniel Norris [pdf]

    Final notices Published: 23/10/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 11 related to threshold conditions in the general insurance and protection. We imposed a cancellation.

  5. FCA Final Notice 2014: Citibank N.A. [pdf]

    Final notices Published: 12/11/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 3 related to wholesale conduct and benchmarks in the investment bank sector. We imposed a fine.

  6. Final Notice: Danes Autos Limited [pdf]

    Final notices Published: 21/10/2016
    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.

  7. Final notice 2016: EVS Trading Limited [pdf]

    Final notices Published: 27/01/2016 Last modified: 27/01/2016
    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.

  8. Final notice 2016: GGK Investments Limited [pdf]

    Final notices Published: 15/06/2016 Last modified: 15/06/2016
    This final notice refers to breaches of PRIN 4, COND and INPRU-INV related to threshold conditions in the investment adviser sector. We imposed a cancellation.

  9. Final notice 2016: Trevor John Fry [pdf]

    Final notices Published: 30/06/2016 Last modified: 30/06/2016
    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.

  10. Final Notice 2018: Ludu Energy Limited [pdf]

    Final notices Published: 01/02/2018
    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.
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