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Showing 801 to 810 of 1074 search results for Final Notice refers to breaches of PSR related.

  1. Final Notice 2017: D H & M Edwards [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.

  2. Final Notice 2017: Notion Capital Managers LLP [pdf]

    Final notices Published: 20/01/2017
    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.

  3. Final Notice 2015: Deutsche Bank AG [pdf]

    Final notices Published: 23/04/2015 Last modified: 23/04/2015
    This final notice refers to breaches of PRIN 5, PRIN 3 and PRIN 11 related to wholesale conduct, benchmarks, failing to be open and co-operative and culture/governance in the investment bank sector. We imposed a fine.

  4. Final Notice 2018: Vanquis Bank Limited [pdf]

    Final notices Published: 27/02/2018 Last modified: 28/03/2018
    This FCA final notice (Vanquis Bank Limited) refers to breaches of PRIN 6 and PRIN 7 related to unfair treatment of customers in the consumer credit sector. We imposed a fine and restitution.

  5. FCA Final Notice 2014: Catalyst Fund Management Limited [pdf]

    Final notices Published: 08/05/2014 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 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 2016: GB Financial Consultancy Limited [pdf]

    Final notices Published: 29/06/2016 Last modified: 29/06/2016
    This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative and threshold conditions in the general insurance and protection sector. We imposed a cancellation.

  9. Final Notice 2018: East Pennine O E [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

  10. Final Notice 2018: Direct Savings (Scotland) Limited [pdf]

    Final notices Published: 01/02/2018
    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.
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