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Showing 652 to 661 of 846 search results for This final notice refers to breaches of PRIN 11 related.

  1. Financial Services Register

    To look up details of firms, use The Financial Services Register. The register is a public record that shows details of firms, individuals and other bodies that are, or have been, regulated by the Prudential Regulation Authority (PRA) and/or the Financial Conduct Authority (FCA).

  2. Final Notice 2022: Herts Car centre limited [pdf]

    Final notices Published: 24/11/2022
    This Final Notice refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the Consumer Credit sector. We imposed a cancellation.

  3. Final Notice 2021: Alistair Shields (trading as Royal Oak Car Sales) [pdf]

    Final notices Published: 21/04/2021
    This final notice (trading as Royal Oak Car Sales) refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority PRIN 11 in the consumer credit sector. We imposed a cancellation.

  4. FCA Final Notice 2014: Citibank N.A. [pdf]

    Final notices Published: 12/11/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 3 related to wholesale conduct and benchmarks in the investment bank sector. We imposed a fine.

  5. Final Notice 2023: Guaranty Trust Bank (UK) Limited [pdf]

    Final notices Published: 10/01/2023
    This Final Notice (Guaranty Trust Bank (UK) Limited) refers to breaches of PRIN 3 related to the risk of financial crime in the wholesale banking sector. We imposed a financial penalty.

  6. FCA Final Notice 2014: Yorkshire Building Society [pdf]

    Final notices Published: 28/10/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 6, PRIN 3, MCOB related to unfair treatment of customers, complaints-handling in the mortgages, building society sector. We imposed a fine.

  7. Final Notice 2022: David Andrew Hyde (trading as Cundy X Cars) [pdf]

    Final notices Published: 17/10/2022
    This final notice (David Andrew Hyde (trading as Cundy X Cars) refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority PRIN 11 in the consumer credit sector. We imposed a

  8. Final Notice 2021: Rockin Vans Ltd [pdf]

    Final notices Published: 21/04/2021
    This final notice (Rockin Vans Ltd) refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority PRIN 11 in the consumer credit sector. We imposed a cancellation.

  9. Final Notice 2019: UBS AG [pdf]

    Final notices Published: 19/03/2019
    This final notice (UBS AG) refers to breaches of SUP 17, SUP 15 and PRIN 3 related to transaction reporting failures in the investment bank sector. We imposed a fine.

  10. FCA Final Notice 2013: Aberdeen Asset Managers Limited and Aberdeen Fund Management Limited [pdf]

    Final notices Published: 02/09/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 3, PRIN 10 and CASS related to client money in the asset management sector. We imposed a financial penalty.

  11. Final Notice 2022: AHM Automotive Limited [pdf]

    Final notices Published: 14/02/2022
    This Final Notice refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the Consumer Credit sector. We imposed a cancellation.