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Showing 381 to 390 of 1260 search results for final notice refers to breaches of PRIN 3 and PRIN.

381. Final Notice 2017: Allenby Stevenson Limited [pdf]

     Final notices Published: 18/08/2017
     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.

382. Final Notice 2017: AB Car Sales (Leeds) Ltd [pdf]

     Final notices Published: 06/10/2017
     This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

383. Final Notice 2017: D H & M Edwards [pdf]

     Final notices Published: 10/05/2017
     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.

384. FCA Final Notice 2014: Derick Anthony Whewall [pdf]

     Final notices Published: 21/05/2014 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.

385. FCA Final Notice 2014: Mark Ian Warner trading as Advanced Financial Management [pdf]

     Final notices Published: 29/05/2014 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 an OIVOP and a cancellation.

386. FCA Final Notice 2013: JLT Specialty Limited [pdf]

     Final notices Published: 19/12/2013 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 3 related to financial crime in the general insurance and protection sector. We imposed a fine.

387. FCA Final Notice 2013: Paul David Cable [pdf]

     Final notices Published: 19/07/2013 Last modified: 19/05/2015
     This final notice refers to breaches of PRIN 1 related to lack of fitness/propriety in the general insurance and protection sector. We imposed a fine and a prohibition.

388. Final Notice 2017: Swiss Watch Trading Limited [pdf]

     Final notices Published: 04/01/2017
     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.

389. Final Notice 2018: Emily Cook [pdf]

     Final notices Published: 18/05/2018
     This final notice (Emily Cook) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

390. FCA Final Notice 2013: Clydesdale Bank PLC [pdf]

     Final notices Published: 26/09/2013 Last modified: 07/04/2015
     This final notice refers to breaches of PRIN 6 related to unfair treatment of customers in the retail banks sector. We imposed a fine and redress.