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Showing 361 to 370 of 1701 search results for This final notice refers to breaches of PRIN.
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FCA Final Notice 2014: Forex Capital Markets Limited (FXCM Ltd) and FXCM Securities Limited (FXCM Securities) [pdf]
This final notice refers to breaches of PRIN 6, PRIN 11, and COBS related to unfair treatment of customers, and failing to be open and co-operative in the trading firms sector. We imposed a fine and redress. -
Final Notice 2016: Race 2 Off-Road 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 2015: Quick Purchase [pdf]
This Final Notice refers to breaches of PRIN 6 and MCOB (Mortgage Conduct of Business Rules) related to unfair treatment of customers in the sale and rent back sector. We imposed a fine and redress. -
FCA Final Notice 2014: David John Hewitt trading as Bexley Insurance Centre [pdf]
This final notice refers to breaches of PRIN 11 related to threshold conditions in the general insurance, intermediary sector. We imposed a cancellation. -
Final Notice 2017: Capita Financial Managers Limited [pdf]
This final notice refers to breaches of PRIN 2 and PRIN 7 related to financial promotions in the asset management sector. We imposed a public censure. -
Final Notice 2019: Bank of Scotland Plc [pdf]
This final notice refers to breaches of PRIN 11 and SUP, relating to failing to be open and cooperative in the retail bank sector. We imposed a financial penalty. -
FCA Final Notice 2013: Castlehill Wealth Management Limited [pdf]
This Final Notice refers to breaches of PRIN 11 related to threshold conditions in the investment advisors & platforms sector. We imposed a cancellation. -
FCA Final Notice 2014: Royal Bank of Scotland Plc, National Westminster Bank Plc and Ulster Bank Ltd [pdf]
This final notice refers to breaches of PRIN 3 related to unfair treatment of customers in the retail banks sector. We imposed a fine. -
Final Notice 2017: G & T Office Equipment [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: 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.