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Showing 21 to 30 of 698 search results for final notice refers to breaches of PRIN 3 and SYSC related.
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Final Notice 2018: Canara Bank [pdf]
This FCA Final Notice (Canara Bank) refers to breaches of Principle 3 and SYSC related to financial crime in the retail bank sector. We imposed a fine and restriction. -
Final notice 2016: Alan Whittington [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open -
Final Notice 2016: Marlborough Isleworth Motors Limited [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative -
Final Notice 2017: Keep Sheffield Warm [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be -
Final Notice 2019: Prindiville Plc [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in -
Final Notice 2020: Barclays [pdf]
This Final Notice (Barclays) refers to breaches of PRIN 6, PRIN 3, and CONC related to unfair treatment of customers in the Retail Banking sector. We imposed a financial penalty. -
Final Notice 2019: Vale Veterinary Group [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in -
Final Notice 2019: Wedgwood Vehicle Solutions Limited [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in -
Final Notice 2019: Andrew Morris Cars Ltd [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in -
FCA Final Notice 2013: Coöperatieve Centrale Raiffeisen–Boerenleenbank B.A. (Rabobank) [pdf]
This final notice refers to breaches of PRIN 2, PRIN 3, and PRIN 5 related to benchmarks in the investment banks sector. We imposed a fine.