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Showing 381 to 390 of 1715 search results for Final Notice refers to breaches of PRIN.
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FCA Final Notice 2014: Royal Bank of Scotland Plc, National Westminster Bank Plc and Ulster Bank Ltd [pdf]
This final notice refers to breaches of PRIN 3 related to unfair treatment of customers in the retail banks sector. We imposed a fine. -
Final Notice 2017: Plantwell Hydraponics 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 2017: North Nottinghamshire College [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: Matrix Integrated Financial Solutions [pdf]
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. -
Final Notice 2017: Acquisition 395447313A Limited [pdf]
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. -
Final Notice 2020: Charles Schwab UK Limited [pdf]
This Decision Notice / Final Notice refers to breaches of PRIN 10 and 11, CASS and Section 20 FSMA related to failing to be open and co-operative, client money/assets and failing to operate in accordance with permission in the Wealth Management and -
Final notice 2016: Manchester Plumbing Supplies 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 2015: Kudu Emerging Markets Limited [pdf]
This Final Notice refers to breaches of PRIN 11 related to failing to be open and co-operative and threshold conditions in the Investment Adviser sector. We imposed a cancellation. -
Final Notice 2017: Essex Motor Centre Ltd [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 2018: City Docs Solutions Ltd [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.