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Showing 551 to 560 of 1216 search results for Final Notice refers to breaches of PRIN 3 related.

  1. Final notice 2020: Aberdeen Recycling Ltd [pdf]

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

  2. 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.

  3. Final notice 2016: Lester Evans [pdf]

    Final notices Published: 15/04/2016 Last modified: 15/04/2016
    This final notice refers to breaches of PRIN 11 and COND related to failing to be open and cooperative and threshold conditions in the general insurance and protection sector. We imposed a cancellation.

  4. Final Notice 2017: Michael James Automotive 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.

  5. Final Notice 2019: Vanspares (Llandow) Ltd [pdf]

    Final notices Published: 28/10/2019
    This final notice (Vanspares (Llandow) Ltd) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

  6. Final Notice 2018: Wilton Trading Limited [pdf]

    Final notices Published: 08/05/2018
    This final notice (Wilton Trading 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 2018: Troopers Sales Limited [pdf]

    Final notices Published: 08/05/2018
    This final notice (Troopers Sales 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.

  8. Final Notice 2015: Stephen Edward Bell [pdf]

    Final notices Published: 13/03/2015 Last modified: 31/03/2015
    This final notice refers to breaches of PRIN 3 (knowing concern) and FIT related to the lack of fitness/propriety, culture/governance and appointed representatives in the general insurance and protection, investment adviser and platform sector. We

  9. Final Notice 2022: Pembrokeshire Mortgage Centre Limited (trading as County Financial Consultants) (in liquidation) [pdf]

    Final notices Published: 02/12/2022
    This Final Notice (Pembrokeshire Mortgage Centre Limited (trading as County Financial Consultants)) refers to breaches of Principles 3, 7 and 9 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We

  10. Final Notice 2020: Grove Automotive Limited [pdf]

    Final notices Published: 06/02/2020
    This final notice (Grove Automotive Limited) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.
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