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Showing 61 to 70 of 845 search results for final notice refers to breaches of PRIN 3 and PRIN 5 related.

  1. Final Notice 2015: Lloyds Bank plc, Bank of Scotland plc and Black Horse Limited (together Lloyds Banking Group “LBG”) [pdf]

    Final notices Published: 05/06/2015 Last modified: 05/06/2015
    This final notice refers to breaches of PRIN 6 related to unfair treatment of customers and complaints-handling in the retail bank sector. We imposed a fine.

  2. Final notice 2016: Bar Professions Limited (in liquidation) [pdf]

    Final notices Published: 01/02/2016 Last modified: 01/02/2016
    This final notice refers to breaches of PRIN 2, PRIN 7 and ICOBS related to appointed representatives and failing to act on information appropriately in the general insurance and protection sector. We imposed a public censure.

  3. Final notice 2016: Park Grove Financial Management Limited [pdf]

    Final notices Published: 27/06/2016 Last modified: 27/06/2016
    This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the general insurance and protection sector. We imposed a cancellation.

  4. FCA Final Notice 2013: JPMorgan Chase Bank, N.A. [pdf]

    Final notices Published: 19/09/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 2, PRIN 3, PRIN 5, and PRIN 11 related to wholesale conduct, market protection, and failing to be open and co-operative in the investment banks sector. We imposed a fine.

  5. Final Notice 2021: Sapien Capital Limited [pdf]

    Final notices Published: 06/05/2021
    This Final Notice (Sapien Capital Limited) refers to breaches of PRIN 2 and PRIN 3 related to the risk of financial crime in the trading firms sector. We imposed a financial penalty.

  6. Final Notice 2020: Kirt Blackburn [pdf]

    Final notices Published: 05/05/2020
    This final notice (Kirt Blackburn) 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. FCA Final Notice 2015: Highview Financial Services Limited [pdf]

    Final notices Published: 09/11/2015 Last modified: 09/11/2015
    This Final Notice refers to breaches of PRIN 6, PRIN 11, COND, DISP related to Threshold Conditions in the Consumer Credit sector. We imposed a cancellation.

  8. FCA Final Notice 2013: Minona 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.

  9. Final Notice 2020: Jarnail Singh Basran [pdf]

    Final notices Published: 21/05/2020
    This final notice (Jarnail Singh Basran) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

  10. FCA Final Notice 2013: Foneshield (UK) Limited [pdf]

    Final notices Published: 26/07/2013 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.