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Showing 481 to 490 of 1216 search results for Final Notice refers to breaches of PRIN 3 related.

  1. 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.

  2. Final Notice 2017: Seclo Limited [pdf]

    Final notices Published: 09/05/2017
    This final notice refers to breaches of PRIN 11 and COND related to failing to be open and co-operative in the consumer credit sector. We imposed a refusal.

  3. Final Notice 2018: Keith Buckfield [pdf]

    Final notices Published: 08/05/2018
    This final notice (Keith Buckfield) 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 2013: Catalyst Investment Group Limited [pdf]

    Final notices Published: 04/10/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 1 and PRIN 6 related to financial promotions and unfair treatment of customers in the investment advisers and platforms sector. We imposed a public censure.

  5. Final notice 2020: Southgate Garage [pdf]

    Final notices Published: 25/02/2020
    This final notice (Southgate Garage) 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 2020: Lychworth Limited [pdf]

    Final notices Published: 25/02/2020
    This final notice (Lychworth Limited) 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. Final Notice 2017: Michael Wilkinson Mortgages (trading as Michael Wilkinson) [pdf]

    Final notices Published: 02/02/2017
    This final notice refers to breaches of PRIN 4, PRIN 11, SUP, MIPRU and COND related to failing to be open and co-operative and threshold conditions in the general insurance and protection and mortgages sector. We imposed a cancellation.

  8. Final notice 2020: Epos Up Limited [pdf]

    Final notices Published: 28/01/2020
    This final notice (Epos Up Limited) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

  9. Final Notice 2015: Merlin Loans and Mortgages Limited [pdf]

    Final notices Published: 14/09/2015 Last modified: 14/09/2015
    This final notice refers to breaches of PRIN 6, PRIN 11, DISP and COND related to threshold conditions, failing to be open and co-operative, and unfair treatment of customers in the consumer credit sector. We imposed a cancellation.

  10. Final Notice 2017: Sterling Bathrooms Limited [pdf]

    Final notices Published: 04/01/2017
    This final notice refers to breaches of PRIN 11 and SUP related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.
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