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Showing 511 to 520 of 1715 search results for Final Notice refers to breaches of PRIN.
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Final Notice: Aviva Pension Trustees UK Limited, Aviva Wrap UK Limited [pdf]
This final notice refers to breaches of PRIN 3, PRIN 10, CASS Rules, SUP and SYSC related to client money/assets and culture/governance in the life insurance sector. We imposed a fine. -
Final Notice 2017: Margolis Business Systems 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 2020: Strattons of Bournemouth Used Car Sales 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 2018: D & J Roofing & Building Services 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: Norcounty Insurance Services Ltd [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in the general insurance and protection and investment adviser sectors. We imposed a cancellation. -
Final Notice 2017: Spand Motors (Joseph Jones trading as) [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: Dr Saim Köksal trading as Arcis Management Consultancy [pdf]
This final notice refers to breaches of PRIN 11 and COND related to failing to be open and co-operative in the consumer credit sector. We imposed a refusal of the applicant’s Part 4A application. -
Final Notice 2020: Darren Evans (trading as BD Automotive and BD Performance) [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 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 2016: Aspect Garage Ltd [pdf]
This final notice refers to breaches of COND, PRIN 11, failing to be open and co-operative. We imposed a refusal.