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Showing 501 to 510 of 1210 search results for This final notice refers to breaches of PRIN 3 related.

  1. FCA Final Notice 2013: The Royal Bank of Scotland plc and The Royal Bank of Scotland N.V. (together “RBS”) [pdf]

    Final notices Published: 16/07/2013 Last modified: 07/04/2015
    This final notice refers to breaches of SUP and PRIN 2 related to transaction reporting in the investment banks sector. We imposed a fine.

  2. Final Notice 2019: JGS Motors Ltd [pdf]

    Final notices Published: 28/10/2019
    This final notice (JGS Motors Ltd) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

  3. Final notice 2016: Glyn Goodyear [pdf]

    Final notices Published: 14/04/2016 Last modified: 14/04/2016
    This final notice refers to breaches of PRIN 6, PRIN 11, COND and DISP related to failing to be open and co-operative, unfair treatment of customers and threshold conditions in the consumer credit sector. We imposed a cancellation.

  4. Final Notice 2020: Motor Hut Ltd [pdf]

    Final notices Published: 08/06/2020
    This final notice (Motor Hut Ldt) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

  5. FCA Final Notice 2014: Stonebridge International Insurance Limited [pdf]

    Final notices Published: 07/08/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 3 and PRIN 6 related to unfair treatment of customers, mis-selling, and culture/governance in the general insurance and protection sector. We imposed a fine and redress.

  6. Final Notice 2017: Black Arrow Assist Limited [pdf]

    Final notices Published: 19/09/2017
    This final notice refers to a breach of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  7. Final Notice 2017: Bluefin Insurance Services Limited [pdf]

    Final notices Published: 06/12/2017
    This final notice refers to breaches of PRIN 3 and PRIN 7 related to conflicts of interest, culture/governance and unfair treatment of customers in the general insurance and protection sector. We imposed a fine.

  8. Final Notice 2015: Oracle Financial Planning [pdf]

    Final notices Published: 02/07/2015 Last modified: 02/07/2015
    This final notice refers to breaches of Threshold Conditions and PRIN 11 related to failing to be open and co-operative in the general insurance intermediary sector. We imposed a cancellation.

  9. Final Notice 2015: Clydesdale Bank Plc [pdf]

    Final notices Published: 14/04/2015 Last modified: 14/04/2015
    This final notice refers to breaches of PRIN 6 and DISP related to unfair treatment of customers and complaints handling in the retail banks sector. We imposed a fine.

  10. FCA Final Notice 2013: AXA Wealth Services Ltd (“AXA”) [pdf]

    Final notices Published: 13/09/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 9 and COBS related to mis-selling in the investment advisers and platforms sector. We imposed a fine.