Filter results
Filter by document type
Filter by year
Sort by:

Search results

Showing 1201 to 1210 of 2139 search results for Final Notice refers to breaches.

  1. Final notice 2019: The Prudential Assurance Company Limited [pdf]

    Final notices Published: 30/09/2019
    This Final Notice (The Prudential Assurance Company Limited) refers to breaches of PRIN 3 and PRIN 6 and relates to mis-selling and the unfair treatment of customers in the pensions sector. We imposed a fine.

  2. Final Notice 2020: Andrew Totney Developments Limited [pdf]

    Final notices Published: 25/02/2020
    This final notice (Andrew Totney Developments Limited) 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 2020: Renewable Technology Group Limited [pdf]

    Final notices Published: 12/02/2020
    This final notice (Renewable Technology Group Limited) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  4. Final Notice 2019: Prestige Group (UK) I Ltd [pdf]

    Final notices Published: 07/01/2019
    This final notice (Prestige Group (UK) I Ltd) refers to breaches of payment services regulations (PSR) related to failing to be open and co-operative in the payment services sector. For the interest and protection of Consumers, we imposed a

  5. Final Notice 2018: Tesco Personal Finance plc [pdf]

    Final notices Published: 01/10/2018
    This final notice refers to Tesco Bank’s breach of FCA Principle 2 for failing to exercise due skill, care and diligence in protecting its personal current account holders against a cyber attack. We imposed a financial penalty of £16.4 million.

  6. Final Notice 2021: Capital Car Network Limited [pdf]

    Final notices Published: 31/03/2021
    This final notice (Capital Car Network) refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority PRIN 11 in the consumer credit sector. We imposed a cancellation.

  7. Final Notice 2023: Lee Elrick (Trading as Autopoint Aberdeen) [pdf]

    Final notices Published: 27/07/2023
    This final notice (Lee Elrick (Trading as Autopoint Aberdeen)) refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the consumer credit sector. We imposed a

  8. Final notice 2019: Tullett Prebon (Europe) Limited [pdf]

    Final notices Published: 11/10/2019
    This final notice (Tullett Prebon (Europe) Limited) refers to breaches of PRIN 2, PRIN 3 and PRIN 11 related to wholesale conduct and failing to be open and co-operative in the trading firm sector. We imposed a financial penalty.

  9. Final Notice 2023: Moorland Mayfair Wealth Management [pdf]

    Final notices Published: 19/09/2023
    This Final Notice refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the retail lending, retail investments, general insurance & protection and consumer credit

  10. Final Notice 2021: Jon Frensham (formerly known as Jonathan James Hunt) [pdf]

    Final notices Published: 17/09/2021
    This Final Notice (Jon Frensham, formerly known as Jonathan James Hunt) refers to breaches of FIT by a financial adviser. We imposed a prohibition.
Related searches