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Showing 931 to 940 of 1275 search results for This final notice refers to breaches of COND and PRIN.
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Final Notice 2017: Alt-P 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 2017: Auto Safari Car Sales [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: Samlet Car Sales 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 2020: Perfectalign Limited [pdf]
This final notice (Perfectalign Limited) 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 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. -
FCA Final Notice 2013: Sovereign Financial Solutions Limited [pdf]
This Final Notice refers to breaches of PRIN 11 related to threshold conditions in the general insurance and protection sector. We imposed a cancellation. -
Final notice 2016: WH Car Sales 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: Best Broker Limited [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the general insurance and protection sector. We imposed a cancellation. -
Final Notice 2019: Henderson Investment Funds Limited [pdf]
This final notice refers to breaches of PRIN 3 and PRIN 6 related to the unfair treatment of customers in the Asset Management sector. We imposed a financial penalty. -
FCA Final Notice 2013: Martin Richard Moseling trading as Blenheim Financial Services [pdf]
This Final Notice refers to breaches of PRIN 6 related to threshold conditions in the investment advisors & platforms sector. We imposed a cancellation.