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Showing 731 to 740 of 1275 search results for This final notice refers to breaches of COND and PRIN.
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Final Notice 2016: Bradley Bailey [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: Mohammed Wajid [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 2018: Vanquis Bank Limited [pdf]
This FCA final notice (Vanquis Bank Limited) refers to breaches of PRIN 6 and PRIN 7 related to unfair treatment of customers in the consumer credit sector. We imposed a fine and restitution. -
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. -
FCA Final Notice 2014: Financial 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. -
Final Notice 2017: John Abbott [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 2020: Commerzbank AG [pdf]
Final Notice: Commerzbank AG -
Final notice 2016: Russell Blakey [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: Reuben Anderson [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 2015: Bank of Beirut (UK) Ltd [pdf]
This final notice refers to breaches of PRIN 11 related to financial crime risks and failure to be open and cooperative with the Authority. We imposed a fine and a restriction.