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Showing 281 to 290 of 1715 search results for Final Notice refers to breaches of PRIN.

  1. FCA Final Notice 2014: Yorkshire Building Society [pdf]

    Final notices Published: 28/10/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 6, PRIN 3, MCOB related to unfair treatment of customers, complaints-handling in the mortgages, building society sector. We imposed a fine.

  2. Final Notice 2017: All Motors Cardiff [pdf]

    Final notices Published: 18/08/2017
    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.

  3. Final Notice 2016: Hallbrooke Ballymena Limited [pdf]

    Final notices Published: 08/08/2016 Last modified: 08/08/2016
    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.

  4. Final Notice 2017: John Charles Berry [pdf]

    Final notices Published: 24/05/2017
    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.

  5. FCA Final Notice 2014: Mark Ian Warner trading as Advanced Financial Management [pdf]

    Final notices Published: 29/05/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 11 related to threshold conditions in the investment advisor sector. We imposed an OIVOP and a cancellation.

  6. Final Notice 2018: Barot Bros (Bhupatsinh Barot trading as) [pdf]

    Final notices Published: 21/09/2018
    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.

  7. FCA Final Notice 2015: Highview Financial Services Limited [pdf]

    Final notices Published: 09/11/2015 Last modified: 09/11/2015
    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.

  8. FCA Final Notice 2013: Aberdeen Asset Managers Limited and Aberdeen Fund Management Limited [pdf]

    Final notices Published: 02/09/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 3, PRIN 10 and CASS related to client money in the asset management sector. We imposed a financial penalty.

  9. Final Notice 2017: Deutsche Bank [pdf]

    Final notices Published: 31/01/2017
    This final notice refers to breaches of PRIN 3 and SYSC related to culture/governance and financial crime in the investment bank sector. We imposed a fine.

  10. Final Notice 2017: Moto Centre Limited [pdf]

    Final notices Published: 18/08/2017
    This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.
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