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Showing 621 to 630 of 1216 search results for Final Notice refers to breaches of PRIN 3 related.
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Final Notice 2022: BGC Brokers LP, GFI Securities Limited and GFI Brokers Limited [pdf]
This Final Notice refers to breaches of Principle 3 of the FCA’s Principles for Businesses and Article 16(2) of the Market Abuse Regulation related to market protection and wholesale conduct in the Trading Firm sector. We imposed a financial -
Final Notice 2022: GAM International Management Limited [pdf]
The Final Notice refers to breaches of PRIN 2 and 8 related to the management of conflicts of interest in the asset management sector. We imposed a financial penalty. -
Final Notice 2020: Renewable Technology Group Limited [pdf]
This final notice (Renewable Technology Group 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. -
Final Notice 2020: Andrew Totney Developments Limited [pdf]
This final notice (Andrew Totney Developments 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. -
FCA Final Notice 2013: J.P. Morgan International Bank Limited [pdf]
This Final Notice refers to breaches of PRIN 3 and SYSC related to mis-selling in the wealth management and private banking sector. We imposed a fine and past business review. -
Final notice 2017: Healthy Homes Clean Air Limited [pdf]
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. -
Final notice 2020: Auto Wheels Car Sales Ltd [pdf]
This final notice (Auto Wheels Car Sales Ltd) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation. -
Final Notice 2023: Al Rayan Bank PLC [pdf]
This Final Notice refers to breaches of Principle 3 related to Financial Crime in the Retail Bank sector. We imposed a Financial Penalty. -
Final Notice 2020: Mo Davey Sales (Malcolm Davey trading as) [pdf]
This final notice (Mo Davey Sales (Malcolm Davey trading as)) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation. -
Final notice 2016: M I Wealth Management Limited [pdf]
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.