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Showing 821 to 830 of 1074 search results for Final Notice refers to breaches of PSR related.
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Final notice 2020: Southampton Cars Limited [pdf]
This final notice (Southampton Cars Limited) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation. -
FCA Final Notice 2014: HomeServe Membership Limited [pdf]
This final notice refers to breaches of PRIN 3, PRIN 6 and PRIN 7 related to mis-selling, complaints-handling, unfair treatment of customers, and remuneration in the general insurance and protection sector. We imposed a fine. -
Final Notice 2015: MGI Asset Management Limited [pdf]
This final notice refers to breaches of PRIN 11, related to threshold conditions and failing to be open and co-operative in the investment adviser sector. We imposed a cancellation. -
Final Notice 2015: Focus Wealth Management LLP [pdf]
This final notice refers to breaches of Principle 11 and TC related to threshold conditions, failing to be open and co-operative in the investment advisor sector. We imposed a cancellation. -
Final Notice 2017: Northern Diamond Limited [pdf]
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. -
Final Notice 2023: Bastion Capital London Limited [pdf]
This Final Notice refers to breaches of PRIN 2 and PRIN 3 related to the risk of financial crime in the trading firms sector. We imposed a financial penalty. -
FCA Final Notice 2013: Guaranty Trust Bank (UK) Limited [pdf]
This final notice refers to breaches of PRIN 3 related to financial crime in the retail banks sector. We imposed a fine. -
Final Notice 2017: Christopher James Gocher [pdf]
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. -
Final Notice 2016: Patrick Francis McCreesh [pdf]
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. -
Final notice 2016: Coverall Worldwide Ltd [pdf]
This final notice refers to breaches of PRIN 1, PRIN 3, PRIN 10, CASS and COND related to appointed representatives, client money, failing to act on information appropriately, threshold conditions and unfair treatment of customers in the general