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Showing 341 to 350 of 1701 search results for This final notice refers to breaches of PRIN.
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Final Notice 2017: Marlin Commercial 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 2023: ED&F Man Capital Markets Limited [pdf]
This Final Notice refers to breaches of PRIN 2 and PRIN 3 related to wholesale conduct in the trading firm sector. Our view is that a financial penalty should be imposed. -
Final Notice 2015: MGI Asset Management Limited [pdf]
This final notice refers to breaches of PRIN 11, related to threshold conditions and failing to be open and co-operative in the investment adviser sector. We imposed a cancellation. -
Final Notice 2017: Michael James Automotive Limited [pdf]
This final notice refers to breaches of PRIN 11 and SUP related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation. -
Final Notice 2017: Insure PMR [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 and consumer credit sector. We imposed a cancellation. -
FCA Final Notice 2014: David Lloyd Wren [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 2017: Allenby Stevenson 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: Swiss Watch 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 2015: Lloyds Bank plc, Bank of Scotland plc and Black Horse Limited (together Lloyds Banking Group “LBG”) [pdf]
This final notice refers to breaches of PRIN 6 related to unfair treatment of customers and complaints-handling in the retail bank sector. We imposed a fine. -
Final Notice 2020: LJ Financial Planning Ltd [pdf]
This Final Notice refers to breaches of PRIN 8 and PRIN 9 related to conflicts of interest and failure to provide suitable advice in the Pensions sector. The FCA imposed a financial penalty.