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Showing 691 to 700 of 1227 search results for Final Notice refers to breaches of PRIN 3 related.
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Final Notice 2017: Redcar and District Credit Union Limited [pdf]
This final notice refers to breaches of Principle 11 related to failing to be open and co-operative in the credit union sector. We imposed a cancellation. -
Final Notice 2017: Fleetwood and District Credit Union Limited [pdf]
This final notice refers to breaches of Principle 11 related to failing to be open and co-operative in the credit union sector. We imposed a cancellation. -
Final Notice 2020: Lloyds Bank plc, Bank of Scotland plc, and The Mortgage Business plc [pdf]
This Final Notice (Lloyds Bank plc, Bank of Scotland plc, and The Mortgage Business plc) refers to breaches of PRIN 3 and PRIN 6 related to the unfair treatment of customers in the mortgages sector. We imposed a financial penalty. -
Final Notice 2017: Elswick and Cruddas Park Credit Union Limited [pdf]
This final notice refers to breaches of Principle 11 related to failing to be open and co-operative in the credit union sector. We imposed a cancellation. -
Final Notice 2021: Lloyds Bank General Insurance Limited, St Andrew’s Insurance Plc, Lloyds Bank Insurance Services Limited and Halifax General Insurance Services Limited [pdf]
This Final Notice (Lloyds Bank General Insurance Limited, St Andrew’s Insurance Plc, Lloyds Bank Insurance Services Limited and Halifax General Insurance Services Limited) refers to breaches of PRIN 3 and PRIN 7 related to communications with -
Final Notice 2024: Apex Money Limited [pdf]
This final notice refers to breaches of Payment Services Regulations 2017 related to a failure to meet the conditions of registration. We imposed a cancellation. -
Final Notice 2021: Ron Treherne IFA Ltd [pdf]
This Final Notice (Ron Treherne IFA Ltd) refers to breaches of COND, PRIN 6 and PRIN 11 by a financial adviser. We imposed a cancellation of the adviser’s Part 4A permission. -
Final Notice 2022: E.A. McCarroll [pdf]
This Final Notice (E.A. McCarroll) 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. -
Final Notice 2023: Stratton Leasing Limited [pdf]
'The Final Notice refers to breaches of the suitability and appropriate resources Threshold Conditions (COND), and to be open and co-operative with the Authority (Prin 11) in the consumer credit sector. We imposed a cancellation. -
Final Notice 2024: H2O AM LLP (H2O) [pdf]
This Final Notice (H2O AM LLP (H2O)) refers to a failure: to act with due skill, care and diligence; as an AMF to ensure a high level of diligence in the selection of scheme property and to act in the best interest of the scheme and its unitholders;