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Showing 171 to 180 of 845 search results for final notice refers to breaches of PRIN 3 and PRIN 5 related.

  1. Final notice 2016: Aaron Cooper [pdf]

    Final notices Published: 16/03/2016 Last modified: 16/03/2016
    This final notice refers to breaches of COND and PRIN 11 related to Threshold Conditions, Failing to be open and co-operative in the consumer credit sector. We imposed a refusal.

  2. Final Notice 2017: Insulating Windows [pdf]

    Final notices Published: 10/08/2017
    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.

  3. Final Notice: FC Group Limited [pdf]

    Final notices Published: 21/10/2016
    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.

  4. Final notice 2020: Bicycleshack [pdf]

    Final notices Published: 01/06/2020
    This final notice (Bicycleshack) 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: Commerzbank AG [pdf]

    Final notices Published: 17/06/2020
    Final Notice: Commerzbank AG

  6. FCA Final Notice 2014: Royal Bank of Scotland plc and National Westminster Bank Plc [pdf]

    Final notices Published: 27/08/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 2, PRIN 9, and MCOB related to mis-selling in the retail bank sector. We imposed a fine.

  7. FCA Final Notice 2013: Praetor Capital LLP [pdf]

    Final notices Published: 02/07/2013 Last modified: 07/04/2015
    This Final Notice refers to breaches of PRIN 11 related to threshold conditions in the asset management sector. We imposed a cancellation.

  8. Final Notice 2015: Bank of Beirut (UK) Ltd [pdf]

    Final notices Published: 05/03/2015 Last modified: 05/03/2015
    This final notice refers to breaches of PRIN 11 related to financial crime risks and failure to be open and cooperative with the Authority. We imposed a fine and a restriction.

  9. FCA Final Notice 2014: Financial Limited [pdf]

    Final notices Published: 23/07/2014 Last modified: 13/03/2015
    This final notice refers to breaches of PRIN 3 and SYSC related to culture/goverence in the investment adviser sector. We imposed a public censure, suspension, and restriction.

  10. Final Notice 2015: John Joseph Financial Services Limited [pdf]

    Final notices Published: 30/09/2015 Last modified: 06/10/2015
    This final notice refers to breaches of PRIN 9, SYSC, COB and COBS related to mis-selling in the investment adviser sector. We imposed a fine.