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Showing 541 to 550 of 1252 search results for This final notice refers to breaches of PRIN 3 and PRIN.

  1. Final Notice 2018: CMAS Financial Services Limited [pdf]

    Final notices Published: 02/07/2018
    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.

  2. Final Notice 2022: Henderson Carter Associates Limited [pdf]

    Final notices Published: 17/05/2022
    This Final Notice (Henderson Carter Associates Limited) refers to breaches of PRIN 1 and Section 20 FSMA related to mis-selling and failing to be open and co-operative in the investment adviser and pensions sector. We imposed a public censure.

  3. Final Notice 2020: Belvedere Finance Limited [pdf]

    Final notices Published: 25/02/2020
    This final notice (Belvedere Finance Limited) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  4. Final Notice 2020: The Coffee Counter Ltd [pdf]

    Final notices Published: 12/02/2020
    This final notice (The Coffee Counter Ltd) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  5. Final notice 2020: Global Remarketing Limited [pdf]

    Final notices Published: 21/05/2020
    This final notice (Global Remarketing Limited) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

  6. Final Notice: Wingfield Financial Heritage Limited [pdf]

    Final notices Published: 04/10/2016 Last modified: 04/10/2016
    This final notice refers to breaches PRIN 11 and COND related to failing to be open and co-operative in the consumer credit sector. We imposed a refusal.

  7. Final Notice 2017: Tolworth Motor Company (Surrey) Limited [pdf]

    Final notices Published: 18/08/2017
    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.

  8. Final Notice 2015: Alpha Accident Claims Limited [pdf]

    Final notices Published: 20/03/2015 Last modified: 20/03/2015
    This final notice refers to breaches of Threshold Conditions, PRIN 11, failing to be open and co-operative in the General Insurance Intermediary sector. We imposed a cancellation.

  9. FCA Final Notice 2014: Residential Facilities Management Limited [pdf]

    Final notices Published: 13/01/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 11 related to threshold conditions in the general insurance and protection sector. We imposed a cancellation.

  10. 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.