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Showing 111 to 120 of 1702 search results for Final Notice refers to breaches of PRIN.
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FCA Final Notice 2014: Sesame Limited [pdf]
This final notice refers to breaches of PRIN 8 and COBS related to conflicts of interest in the life insurance and investment adviser sector. We imposed a fine. -
Final Notice 2017: Michael Wilkinson Mortgages (trading as Michael Wilkinson) [pdf]
This final notice refers to breaches of PRIN 4, PRIN 11, SUP, MIPRU and COND related to failing to be open and co-operative and threshold conditions in the general insurance and protection and mortgages sector. We imposed a cancellation. -
Final notice 2016: CT Capital Limited [pdf]
This final notice refers to breaches of PRIN 3 and PRIN 6 related to complaints-handling and the unfair treatment of customers in the general insurance and protection sector. We imposed a fine. -
Final Notice 2016: Warmcool Limited [pdf]
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. -
Final Notice 2017: Reuben Cunningham [pdf]
This final notice 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 2017: Ashton Patterson [pdf]
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. -
Final notice 2016: Vehicle Supermarket of Leicester Limited [pdf]
This final notice refers to breaches of PRIN 11 and COND, failing to be open and co-operative in the consumer credit sector. We imposed a refusal. -
Final Notice 2017: Christopher Pickerill [pdf]
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. -
FCA Final Notice 2013: Foneshield (UK) Limited [pdf]
This Final Notice refers to breaches of PRIN 11 related to threshold conditions in the general insurance and protection sector. We imposed a cancellation. -
FCA Final Notice 2015: Tiuta Plc [pdf]
This Final Notice refers to breaches of PRIN 4, COND, MIPRU and IPRU-INV related to threshold conditions in the investment adviser sector. We imposed a cancellation.