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Showing 351 to 360 of 1260 search results for final notice refers to breaches of PRIN 3 and PRIN.

  1. FCA Final Notice 2013: Arch Motors Limited [pdf]

    Final notices Published: 09/08/2013 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.

  2. FCA Final Notice 2013: David John Nickless [pdf]

    Final notices Published: 31/05/2013 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.

  3. FCA Final Notice 2014: Catalyst Fund Management Limited [pdf]

    Final notices Published: 08/05/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 11 related to threshold conditions in the investment advisor sector. We imposed a cancellation.

  4. Final Notice 2018: Maddison Cars (John Maddison trading as) [pdf]

    Final notices Published: 21/09/2018
    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.

  5. Final Notice 2018: Robert Hyde [pdf]

    Final notices Published: 21/09/2018
    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.

  6. Final Notice 2018: Kelly Lewis [pdf]

    Final notices Published: 21/09/2018
    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.

  7. Final Notice 2016: Window Fitters Warehouse Limited [pdf]

    Final notices Published: 17/11/2016
    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 2020: Adnan Hassan [pdf]

    Final notices Published: 16/10/2020 Last modified: 16/10/2020
    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.

  9. Final Notice 2017: Notion Capital Managers LLP [pdf]

    Final notices Published: 20/01/2017
    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.

  10. Final Notice 2017: Deutsche Bank [pdf]

    Final notices Published: 31/01/2017
    This final notice refers to breaches of PRIN 3 and SYSC related to culture/governance and financial crime in the investment bank sector. We imposed a fine.
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