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Showing 821 to 830 of 2125 search results for This final notice refers to breaches.
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Final Notice 2019: R. Raphael & Sons Plc [pdf]
This final notice refers to breaches of PRIN 2, PRIN 3, SYSC 8 relating to culture/governance in the retail bank sector. We imposed a financial penalty. -
Final Notice 2017: Collins Ward Capital Management Ltd [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the wealth management and private banking sector. We imposed a cancellation. -
FCA Final Notice 2014: Great Wall Financial Service Limited [pdf]
This final notice refers to breaches of PSR related to failing to be open and co-operative in the payment systems sector. We imposed a cancellation. -
FCA Final Notice 2013: Shahjalal Umrah & Hajj Company Limited [pdf]
This final notice refers to breaches of PSR related to failing to be open and co-operative in the payment services sector. We imposed a cancellation. -
Final Notice 2019: Tradecenter Warrington 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. -
Final Notice 2017: RS Automotive Tunstall Limited [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 2018: Reginald George Arthur Jones [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: Cathedral City Wealth Management Limited [pdf]
This final notice refers to breaches of PRIN 11 related to threshold conditions in the investment advisor sector. We imposed a cancellation. -
Final Notice: Sonali Bank (UK) Ltd [pdf]
This final notice refers to breaches of PRIN 3 and PRIN 11 related to culture/governance, failing to be open and co-operative and financial crime in the retail bank sector. We imposed a fine and suspension/restriction. -
Final Notice 2020: Mint Autos of Wakefield 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.