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Showing 51 to 60 of 838 search results for Final Notice refers to breaches of PRIN 2 and PRIN 3 related.
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FCA Final Notice 2013: Westwood Independent Financial Planners [pdf]
This final notice refers to breaches of PRIN 7, PRIN 9 and COBS related to mis-selling and unfair treatment of customers in the investment advisers and platforms sector. We imposed a fine. -
Final Notice 2015: Aviva Investors Global Services Limited [pdf]
This final notice refers to breaches of PRIN 3, PRIN 8 and COBS related to unfair treatment of customers, conflicts of interest and culture / governance in the Asset management sector. We imposed a fine. -
Final notice 2016: GB Financial Consultancy Limited [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative and threshold conditions in the general insurance and protection sector. We imposed a cancellation. -
Final Notice 2015: Deutsche Bank AG [pdf]
This final notice refers to breaches of PRIN 5, PRIN 3 and PRIN 11 related to wholesale conduct, benchmarks, failing to be open and co-operative and culture/governance in the investment bank sector. We imposed a fine. -
FCA Final Notice 2014: HomeServe Membership Limited [pdf]
This final notice refers to breaches of PRIN 3, PRIN 6 and PRIN 7 related to mis-selling, complaints-handling, unfair treatment of customers, and remuneration in the general insurance and protection sector. We imposed a fine. -
Final notice 2016: Glyn Goodyear [pdf]
This final notice refers to breaches of PRIN 6, PRIN 11, COND and DISP related to failing to be open and co-operative, unfair treatment of customers and threshold conditions in the consumer credit sector. We imposed a cancellation. -
FCA Final Notice 2014: Santander UK plc [pdf]
This final notice refers to breaches of PRIN 7, PRIN 9 and COBS related to unfair treatment of customers in the wealth management and private banking, investment advisers and platforms sector. We imposed a fine. -
Final Notice 2015: Lloyds Bank plc, Bank of Scotland plc and Black Horse Limited (together Lloyds Banking Group “LBG”) [pdf]
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. -
Final Notice 2020: Nicholas Anderton [pdf]
This final notice (Nicholas Anderton) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation. -
Final notice 2016: Park Grove Financial Management Limited [pdf]
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.