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Showing 701 to 710 of 1068 search results for This final notice refers to breaches of PSR related.
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FCA Final Notice 2013: JPMorgan Chase Bank, N.A. [pdf]
This final notice refers to breaches of PRIN 2, PRIN 3, PRIN 5, and PRIN 11 related to wholesale conduct, market protection, and failing to be open and co-operative in the investment banks sector. We imposed a fine. -
Final Notice 2015: Clydesdale Bank Plc [pdf]
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. -
FCA Final Notice 2014: Peter Halpin [pdf]
This final notice refers to breaches of APER 7 related to unfair treatment of customers, mis-selling, remuneration, and culture/governance in the general insurance and protection sector. We imposed a fine and a prohibition -
Final Notice 2017: Syphony Nominees Limited [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in the general insurance and protection sector. We imposed a cancellation. -
Final Notice: Mark Samuel Motors 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 2022: Henderson Carter Associates Limited [pdf]
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. -
FCA Final Notice 2014: Arnold Gary Eber [pdf]
This final notice refers to breaches of FIT related to failing to be open and co-operative, and lack of fitness/propriety in the investment advisers and platforms sector. We imposed a public censure and a prohibition. -
Final notice 2016: Broom Boat Sales 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 2017: All Motors Cardiff [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: Intignis Media Ltd [pdf]
This final notice (Intignis Media Ltd) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.