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Showing 501 to 510 of 1252 search results for This Final Notice refers to breaches of PRIN 2 and PRIN.

  1. Final Notice 2018: Toby Warren Smith [pdf]

    Final notices Published: 08/05/2018
    This final notice (Toby Warren Smith) 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 2019: Mrs Sumera Usman (trading as Motormania Direct) [pdf]

    Final notices Published: 06/06/2019
    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.

  3. Final Notice 2017: KJ Precious Metal Trading LLP [pdf]

    Final notices Published: 30/05/2017
    This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the investment adviser sector. We imposed a cancellation.

  4. FCA Final Notice 2013: Berkeley Consultants (UK) Limited [pdf]

    Final notices Published: 27/11/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 11 related to threshold conditions in the general insurance and protection sector. We imposed a cancellation.

  5. Final Notice 2017: Habib-Ur Rehman [pdf]

    Final notices Published: 11/04/2017
    This final notice refers to breaches of PRIN 11 and COND related to failing to be open and co-operative in the mortgages and general insurance and protection sector. We imposed a cancellation.

  6. Final Notice 2018: Verwood Motors Ltd [pdf]

    Final notices Published: 08/05/2018
    This final notice (Verwood Motors Ltd) 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 2020: Peterborough Trade Centre Ltd [pdf]

    Final notices Published: 24/09/2020 Last modified: 24/09/2020
    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.

  8. Final Notice 2020: Harts Car Company Ltd [pdf]

    Final notices Published: 06/02/2020
    This final notice (Harts Car Company Ltd) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

  9. Final Notice 2020: Charles Schwab UK Limited [pdf]

    Final notices Published: 21/12/2020
    This Decision Notice / Final Notice refers to breaches of PRIN 10 and 11, CASS and Section 20 FSMA related to failing to be open and co-operative, client money/assets and failing to operate in accordance with permission in the Wealth Management and

  10. FCA Final Notice 2013: SEI Investments (Europe) Limited ("SEI") [pdf]

    Final notices Published: 26/11/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 10 and CASS related to client money in the asset management sector. We imposed a financial penalty.