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Showing 71 to 80 of 845 search results for Final Notice refers to breaches of PRIN 3 and PRIN 7 related.

  1. FCA Final Notice 2013: Aberdeen Asset Managers Limited and Aberdeen Fund Management Limited [pdf]

    Final notices Published: 02/09/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 3, PRIN 10 and CASS related to client money in the asset management sector. We imposed a financial penalty.

  2. FCA Final Notice 2013: Foneshield (UK) Limited [pdf]

    Final notices Published: 26/07/2013 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.

  3. Final notice 2016: H Finnikin [pdf]

    Final notices Published: 21/07/2016 Last modified: 21/07/2016
    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. Final notice 2016: Towergate Underwriting Group Limited [pdf]

    Final notices Published: 13/07/2016 Last modified: 13/07/2016
    This final notice refers to breaches of PRIN 3, PRIN 10 and CASS related to client money/assets in the general insurance and protection sector. We imposed a fine.

  5. FCA Final Notice 2013: John Dixon [pdf]

    Final notices Published: 03/06/2013 Last modified: 07/04/2015
    This Final Notice refers to breaches of PRIN 11 related to threshold conditions in the investment advisors & platforms sector. We imposed a cancellation.

  6. Final Notice 2022: Barclays Bank plc [pdf]

    Final notices Published: 28/02/2022
    This Final Notice (Barlclays Bank plc) refers to breaches of PRIN 2 related to financial crime in the corporate banking sector. We imposed a financial penalty.

  7. Final Notice 2016: Iain Strang [pdf]

    Final notices Published: 25/11/2016
    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.

  8. Final Notice 2017: M V Autos [pdf]

    Final notices Published: 23/06/2017
    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.

  9. Final Notice 2017: Ian Foden [pdf]

    Final notices Published: 23/06/2017
    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.

  10. Final Notice 2017: Parm Milap [pdf]

    Final notices Published: 04/07/2017
    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.