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Showing 431 to 440 of 1715 search results for Final Notice refers to breaches of PRIN.

431. Final Notice 2020: Peterborough Trade Centre Ltd [pdf]

     Final notices Published: 24/09/2020 Last modified: 24/09/2020
     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.

432. Final Notice 2016: Jay Bee Automotive 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.

433. FCA Final Notice 2013: SEI Investments (Europe) Limited ("SEI") [pdf]

     Final notices Published: 26/11/2013 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 10 and CASS related to client money in the asset management sector. We imposed a financial penalty.

434. FCA Final Notice 2013: Berkeley Consultants (UK) Limited [pdf]

     Final notices Published: 27/11/2013 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.

435. FCA Final Notice 2014: Cathedral City Wealth Management Limited [pdf]

     Final notices Published: 10/03/2014 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 a cancellation.

436. FCA Final Notice 2013: Lloyds TSB Bank plc and Bank of Scotland plc [pdf]

     Final notices Published: 11/12/2013 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 3 related to mis-selling, remuneration, and culture/governance in the retail banks sector. We imposed a fine.

437. FCA Final Notice 2014: Barclays Bank PLC - September 2014 [pdf]

     Final notices Published: 23/09/2014 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 3, PRIN 10, and CASS related to client money/assets in the investment banks sector. We imposed a fine.

438. Homeworx Building Contractors Limited [pdf]

     Final notices Published: 02/03/2017
     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.

439. Final Notice 2019: Mrs Sumera Usman (trading as Motormania Direct) [pdf]

     Final notices Published: 06/06/2019
     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.

440. Final Notice 2018: Paul Thomas Maksymuik [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 general insurance and protection sector, Mortgages and Investment Adviser. We imposed a cancellation.