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Showing 21 to 30 of 1199 search results for This final notice refers to breaches of PRIN 3 related.
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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. -
Final notice 2016: H Finnikin [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: John Dixon [pdf]
This Final Notice refers to breaches of PRIN 11 related to threshold conditions in the investment advisors & platforms sector. We imposed a cancellation. -
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 2017: M V Autos [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: Ian Foden [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: Parm Milap [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. -
FCA Final Notice 2014: Andrew Barlas [pdf]
This final notice refers to breaches of PRIN 1 related to mortgage fraud in the mortgages sector. We imposed a public censure. -
Final Notice 2017: Gary Drury [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 2014: UBS AG [pdf]
This final notice refers to breaches of PRIN 3 related to wholesale conduct and benchmarks in the investment bank sector. We imposed a fine.