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Showing 321 to 330 of 1252 search results for This Final Notice refers to breaches of PRIN 2 and PRIN.
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Final Notice 2017: Michael Trevor Lewis [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. -
Final Notice 2017: New Peterborough Auto 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. -
FCA Final Notice 2014: Philip Eley [pdf]
This final notice refers to breaches of PRIN 1 related to lack of fitness/propriety in the general insurance and protection sector. We imposed a withdrawal of approval, a fine and a prohibition. -
Final Notice 2016: NIA Trading 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: Clackmannan Car Centre 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. -
FCA Final Notice 2014: Newgate Finance & Properties Limited [pdf]
This final notice refers to breaches of PRIN 11 related to threshold conditions in the mortgages sector. We imposed a cancellation. -
FCA Final Notice 2013: The Royal Bank of Scotland plc and The Royal Bank of Scotland N.V. (together “RBS”) [pdf]
This final notice refers to breaches of SUP and PRIN 2 related to transaction reporting in the investment banks sector. We imposed a fine. -
Final Notice 2017: Ross Leasing 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 2017: Christopher John Lee [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: Investments Limited [pdf]
This final notice refers to breaches of PRIN 3 and SYSC related to culture/goverence in the investment adviser sector. We imposed a public censure, suspension, and restriction.