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Showing 371 to 380 of 1715 search results for Final Notice refers to breaches of PRIN.

371. Final Notice 2017: G & T Office Equipment [pdf]

     Final notices Published: 17/05/2017
     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.

372. Final notice 2016: Yswiriant Celtic Insurance [pdf]

     Final notices Published: 08/03/2016 Last modified: 08/03/2016
     This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the general insurance and protection sector. We imposed a cancellation.

373. FCA Final Notice 2013: Sovereign Financial Solutions Limited [pdf]

     Final notices Published: 04/06/2013 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.

374. FCA Final Notice 2013: Martin Richard Moseling trading as Blenheim Financial Services [pdf]

     Final notices Published: 15/07/2013 Last modified: 07/04/2015
     This Final Notice refers to breaches of PRIN 6 related to threshold conditions in the investment advisors & platforms sector. We imposed a cancellation.

375. FCA Final Notice 2014: Credit Suisse International [pdf]

     Final notices Published: 16/06/2014 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 7 and COBS related to financial promotions, mis-selling, remuneration in the investment banks sector. We imposed a fine.

376. Final Notice 2019: R. Raphael & Sons Plc [pdf]

     Final notices Published: 30/05/2019
     This final notice refers to breaches of PRIN 2, PRIN 3, SYSC 8 relating to culture/governance in the retail bank sector. We imposed a financial penalty.

377. Final Notice 2017: David Stanley Mather [pdf]

     Final notices Published: 03/02/2017
     This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the investment adviser, mortgages and general insurance and protection sector. We imposed a cancellation.

378. 2024 fines

     News stories Published: 25/03/2024 Last modified: 25/06/2024
     Enforcement fines published in 2024.

379. Final Notice 2018: Solomon Car Sales Ltd [pdf]

     Final notices Published: 31/01/2018
     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.

380. Final Notice 2017: Capita Financial Managers Limited [pdf]

     Final notices Published: 10/11/2017
     This final notice refers to breaches of PRIN 2 and PRIN 7 related to financial promotions in the asset management sector. We imposed a public censure.