Search results
Showing 371 to 380 of 1252 search results for This final notice refers to breaches of PRIN 3 and PRIN.
-
Final Notice 2017: Finance Made Simple Ltd [pdf]
This final notice refers to breaches of COND and PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a refusal. -
Final Notice 2017: AB Car Sales (Leeds) Ltd [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 2018: Robert Hyde [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: Kelly Lewis [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: D H & M Edwards [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: Maddison Cars (John Maddison trading as) [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: Adnan Hassan [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: Deutsche Bank [pdf]
This final notice refers to breaches of PRIN 3 and SYSC related to culture/governance and financial crime in the investment bank sector. We imposed a fine. -
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 2019: Standard Life Assurance Limited [pdf]
This final notice (Standard Life Assurance Limited) refers to breaches of PRIN 3, PRIN 6 and COBS related to the unfair treatment of customers in the Life Insurance sector. The FCA imposed a financial penalty.