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Showing 391 to 400 of 1260 search results for final notice refers to breaches of PRIN 3 and PRIN.

  1. Final Notice 2019: Standard Life Assurance Limited [pdf]

    Final notices Published: 23/07/2019
    This final notice (Standard Life Assurance Limited) refers to breaches of PRIN 3, PRIN 6 and COBS related to the unfair treatment of customers in the Life Insurance sector. The FCA imposed a financial penalty.

  2. Final Notice 2015: MGI Asset Management Limited [pdf]

    Final notices Published: 05/08/2015 Last modified: 05/08/2015
    This final notice refers to breaches of PRIN 11, related to threshold conditions and failing to be open and co-operative in the investment adviser sector. We imposed a cancellation.

  3. Final Notice 2018: William Dighton [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

  4. Final Notice 2019: Minstrel Ltd [pdf]

    Final notices Published: 16/10/2019
    This final notice (Minstrel Ltd) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

  5. Final Notice 2020: John Norton [pdf]

    Final notices Published: 29/05/2020
    This final notice (John Norton) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

  6. Final Notice 2017: Guy Pascoe [pdf]

    Final notices Published: 04/09/2017
    This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the general insurance and protection and consumer credit sector. We imposed a cancellation.

  7. Final Notice 2018: David Lloyd [pdf]

    Final notices Published: 08/05/2018
    This final notice (David Lloyd) 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 2017: Seclo Limited [pdf]

    Final notices Published: 09/05/2017
    This final notice refers to breaches of PRIN 11 and COND related to failing to be open and co-operative in the consumer credit sector. We imposed a refusal.

  9. Final Notice 2019: Alonso Lopez [pdf]

    Final notices Published: 12/12/2019
    This final notice (Alonso Lopez) 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 2016: ABC Insolvency Services Limited [pdf]

    Final notices Published: 27/04/2016 Last modified: 27/04/2016
    This final notice refers to breaches of COND and PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a refusal.
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