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Showing 441 to 450 of 1210 search results for This final notice refers to breaches of PRIN 3 related.

  1. FCA Final Notice 2014: Financial Limited [pdf]

    Final notices Published: 23/07/2014 Last modified: 13/03/2015
    This final notice refers to breaches of PRIN 3 and SYSC related to culture/goverence in the investment adviser sector. We imposed a public censure, suspension, and restriction.

  2. Final Notice 2020: Commerzbank AG [pdf]

    Final notices Published: 17/06/2020
    Final Notice: Commerzbank AG

  3. Final Notice 2015: Eldonian Group Ltd [pdf]

    Final notices Published: 17/06/2015 Last modified: 17/06/2015
    This final notice refers to breaches of PRIN 11 and COND related to failing to be open and co-operative in the consumer credit sector. We imposed a refusal.

  4. Final notice 2020: Bicycleshack [pdf]

    Final notices Published: 01/06/2020
    This final notice (Bicycleshack) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

  5. Final notice 2016: Anthony Burton [pdf]

    Final notices Published: 27/10/2016
    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.

  6. Final Notice 2021: Sapien Capital Limited [pdf]

    Final notices Published: 06/05/2021
    This Final Notice (Sapien Capital Limited) refers to breaches of PRIN 2 and PRIN 3 related to the risk of financial crime in the trading firms sector. We imposed a financial penalty.

  7. FCA Final Notice 2014: Investments Limited [pdf]

    Final notices Published: 23/07/2014 Last modified: 13/03/2015
    This final notice refers to breaches of PRIN 3 and SYSC related to culture/goverence in the investment adviser sector. We imposed a public censure, suspension, and restriction.

  8. Final notice 2016: Mr Adam Harris trading as BM Motors [pdf]

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

  9. Final Notice 2023: Bastion Capital London Limited [pdf]

    Final notices Published: 13/07/2023
    This Final Notice refers to breaches of PRIN 2 and PRIN 3 related to the risk of financial crime in the trading firms sector. We imposed a financial penalty.

  10. Final Notice 2020: RL Cars [pdf]

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