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Showing 481 to 490 of 1701 search results for This Final Notice refers to breaches of PRIN.
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Final Notice 2017: Logic Financial Solutions Ltd [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the investment adviser, consumer credit and mortgages sectors. We imposed a cancellation. -
Final Notice 2018: Christopher Dwane Michael Fletcher [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. -
FCA Final Notice 2014: Mohammed Tazul Islam [pdf]
This final notice refers to breaches of PRIN 11 related to threshold conditions in the mortgages sector. We imposed a cancellation. -
Final Notice 2015: Barclays Bank PLC - November 2015 [pdf]
This final notice refers to breaches of PRIN 2 related to financial crime failings. We imposed a fine. -
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: Rollin Stock (Hair & Beauty) Ltd [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 2017: Eco-Insulation Ltd [pdf]
This final notice 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: Chase de Vere Independent Financial Advisers Limited (formerly AWD Chase de Vere Limited) [pdf]
This final notice refers to breaches of PRIN 3, PRIN 7, SYSC, and COBS related to mis-selling in the investment adviser sector. We imposed a redress. -
Final Notice 2017: Motor Palace Ltd [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 2019: Gary Jackson [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.