Filter results
Filter by document type
Filter by year
Sort by:

Search results

Showing 631 to 640 of 1260 search results for final notice refers to breaches of PRIN 3 and PRIN.

  1. FCA Final Notice 2013: J.P. Morgan International Bank Limited [pdf]

    Final notices Published: 23/05/2013 Last modified: 07/04/2015
    This Final Notice refers to breaches of PRIN 3 and SYSC related to mis-selling in the wealth management and private banking sector. We imposed a fine and past business review.

  2. Final Notice 2023: Peak Bikes Limited [pdf]

    Final notices Published: 14/03/2023
    This final notice (Peak Bikes Limited) refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the Consumer Credit sector. We imposed a cancellation.

  3. Final Notice 2021: Sportz Commercials Ltd [pdf]

    Final notices Published: 09/06/2021
    This final notice (Sportz Commercials Ltd) refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority PRIN 11 in the consumer credit sector. We imposed a cancellation.

  4. Final Notice 2017: One Call Vehicle Leasing Southwest Limited [pdf]

    Final notices Published: 05/01/2017
    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.

  5. Final Notice: Rollin Stock (Hair & Beauty) Ltd [pdf]

    Final notices Published: 25/09/2017
    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.

  6. Final notice 2020: Platinum Heating Services Limited [pdf]

    Final notices Published: 25/02/2020
    This final notice (Platinum Heating Services Limited) 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 2020: Simple Car and Van Ltd [pdf]

    Final notices Published: 08/06/2020
    This final notice (Simple Car and Van Ltd) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

  8. Final Notice 2017: Merrill Lynch International [pdf]

    Final notices Published: 23/10/2017
    This final notice refers to breaches of PRIN 3 and Article 9 of EMIR relating to transaction reporting in the investment banking sector. We imposed a fine.

  9. Final Notice 2020: Renewable Technology Group Limited [pdf]

    Final notices Published: 12/02/2020
    This final notice (Renewable Technology Group Limited) 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 2020: Andrew Totney Developments Limited [pdf]

    Final notices Published: 25/02/2020
    This final notice (Andrew Totney Developments Limited) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.
Related searches
Related topics