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Showing 531 to 540 of 1210 search results for This final notice refers to breaches of PRIN 3 related.
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Final Notice 2020: Rochdale Automart Ltd [pdf]
This final notice (Rochdale Automart Ltd) 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 2015: Arch Financial Products LLP [pdf]
This final notice refers to breaches of PRIN 1, PRIN 3, PRIN 8, SYSC and COB related to conflicts of interests in the investment advisor sector. We imposed a public censure. -
Final Notice 2019: Music Matters Limited [pdf]
This final notice (Music Matters Limited) 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 2020: Standout Campers Ltd [pdf]
This final notice (Standout Campers Ltd) 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 2017: Habib-Ur Rehman [pdf]
This final notice refers to breaches of PRIN 11 and COND related to failing to be open and co-operative in the mortgages and general insurance and protection sector. We imposed a cancellation. -
Final Notice 2020: Acacia Trading Ltd [pdf]
This final notice (Acacia Trading Ltd) 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 2020: Grange Finance Limited [pdf]
This final notice (Grange Finance Limited) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation. -
FCA Final Notice 2013: SEI Investments (Europe) Limited ("SEI") [pdf]
This final notice refers to breaches of PRIN 10 and CASS related to client money in the asset management sector. We imposed a financial penalty. -
Final Notice 2017: Michael James Automotive Limited [pdf]
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. -
Final notice 2020: Aberdeen Recycling Ltd [pdf]
This final notice (Aberdeen Recycling Ltd) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.