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Showing 261 to 270 of 845 search results for Final Notice refers to breaches of PRIN 3 and PRIN 7 related.

  1. Final Notice 2018: William Dighton [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

  2. Final notice 2016: Parvin Oghabi Sajjadi [pdf]

    Final notices Published: 25/02/2016 Last modified: 25/02/2016
    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.

  3. Final notice 2016: Ray Alexander Wilson [pdf]

    Final notices Published: 27/01/2016 Last modified: 27/01/2016
    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. 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.

  5. Final Notice 2017: Limited2Art Ltd [pdf]

    Final notices Published: 19/10/2017
    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: Keith Pringle [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: Paul David Cable [pdf]

    Final notices Published: 19/07/2013 Last modified: 19/05/2015
    This final notice refers to breaches of PRIN 1 related to lack of fitness/propriety in the general insurance and protection sector. We imposed a fine and a prohibition.

  8. Final Notice 2016: Get Paid Limited [pdf]

    Final notices Published: 06/09/2016
    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.

  9. FCA Final Notice 2013: Clydesdale Bank PLC [pdf]

    Final notices Published: 26/09/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 6 related to unfair treatment of customers in the retail banks sector. We imposed a fine and redress.

  10. Final Notice 2018: Emily Cook [pdf]

    Final notices Published: 18/05/2018
    This final notice (Emily Cook) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.