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Showing 71 to 80 of 842 search results for final notice refers to breaches of PRIN 3 and PRIN 6 related.

  1. FCA Final Notice 2014: Ewan King [pdf]

    Final notices Published: 30/01/2014 Last modified: 19/05/2015
    This final notice refers to breaches of PRIN 1 related to lack of fitness/propriety in the investment adviser sector. We imposed a fine and a prohibition.

  2. Final Notice 2016: Iain Strang [pdf]

    Final notices Published: 25/11/2016
    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.

  3. Final Notice 2017: Ann Burke [pdf]

    Final notices Published: 31/03/2017
    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.

  4. Final Notice 2017: Billy Davis [pdf]

    Final notices Published: 12/04/2017
    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.

  5. Final Notice 2017: Eric Randle [pdf]

    Final notices Published: 12/04/2017
    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.

  6. Final Notice 2017: Steve Beaty [pdf]

    Final notices Published: 10/05/2017
    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.

  7. Final Notice 2017: Ashby Sales [pdf]

    Final notices Published: 02/05/2017
    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.

  8. Final notice 2016: Jawad Khan [pdf]

    Final notices Published: 25/02/2016 Last modified: 25/02/2016
    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.

  9. Final notice 2016: Pacific Continental Securities (UK) Limited (In Liquidation) [pdf]

    Final notices Published: 15/03/2016 Last modified: 17/03/2016
    This final notice refers to breaches of Prin 4, Cond and IPRU-INV related to threshold conditions in the investment advisor sector. We imposed a cancellation.

  10. FCA Final Notice 2013: Policy Administration Services Limited [pdf]

    Final notices Published: 03/07/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 3 and 6 related to complaints-handling, and the unfair treatment of customers in the general insurance and protection sector. We imposed a fine.