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Showing 411 to 420 of 1715 search results for Final Notice refers to breaches of PRIN.

  1. FCA Final Notice 2014: Stonebridge International Insurance Limited [pdf]

    Final notices Published: 07/08/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 3 and PRIN 6 related to unfair treatment of customers, mis-selling, and culture/governance in the general insurance and protection sector. We imposed a fine and redress.

  2. Final Notice 2015: Mountbatten Financial Limited [pdf]

    Final notices Published: 05/08/2015 Last modified: 01/09/2015
    This final notice refers to breaches of PRIN 11, related to threshold conditions and failing to be open and co-operative in the General Insurance and Protection sector. We imposed a cancellation.

  3. Final Notice 2017: Bluefin Insurance Services Limited [pdf]

    Final notices Published: 06/12/2017
    This final notice refers to breaches of PRIN 3 and PRIN 7 related to conflicts of interest, culture/governance and unfair treatment of customers in the general insurance and protection sector. We imposed a fine.

  4. Final Notice 2018: Resource IMS Limited [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.

  5. Final Notice 2017: CW Specialist Cars Limited [pdf]

    Final notices Published: 06/11/2017
    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.

  6. Final Notice 2017: Green Eco Grants Limited [pdf]

    Final notices Published: 10/05/2017
    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.

  7. FCA Final Notice 2013: Gurpreet Singh Chadda [pdf]

    Final notices Published: 19/06/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 1 related to lack of fitness/propriety, failing to be open and co-operative and unfair treatment of customers in the sale and rent back sector. We imposed a fine and prohibition.

  8. Final Notice 2018: Neil Danziger [pdf]

    Final notices Published: 08/01/2018
    This final notice refers to breaches of PRIN 5 and FIT related to benchmarks, lack of fitness/propriety and wholesale conduct in the investment bank sector. We imposed a fine and prohibition.

  9. Final Notice 2018: Tyresmiths 2016 Ltd [pdf]

    Final notices Published: 01/03/2018
    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.

  10. Final Notice 2017: Shane Kirsten Roper [pdf]

    Final notices Published: 25/09/2017
    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.
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